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Frank Frederick Baldwin

Ubs Financial Services Inc.

La Jolla, CA

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2008-03-24
TX RA APPROVED 2008-03-20
  • CA RA
    APPROVED
    Since 2008-03-24
  • TX RA
    APPROVED
    Since 2008-03-20

Branch Locations

1200 Prospect Street Suite 100, La Jolla, CA 92037 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Ubs Financial Services Inc. La Jolla CA 03/2008 Present
Previous Registrations
  • 2007-04-02 → 2008-03-27
    Morgan Stanley & Co. Llc
    San Diego, CA
  • 2000-02-02 → 2007-04-02
    Morgan Stanley Dw Inc.
    San Diego, CA
    San Diego, CA
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1986-06-11
  • S63 Uniform Securities Agent State Law Examination
    1986-06-11
Other Names
  • Frank Frederik Baldwin

View on SEC IAPD

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Other Offices

ALPHACORE CAPITAL LLC · LA JOLLA, CA
UBS FINANCIAL SERVICES INC. · La Jolla, CA
WEDBUSH SECURITIES INC. · LA JOLLA, CA
UBS FINANCIAL SERVICES INC. · LA JOLLA, CA
HAMILTON MANOR & ASSOCIATES · LA JOLLA, CA
TORREYANA CAPITAL · LA JOLLA, CA
INTEGRATED WEALTH CONCEPTS LLC · LA JOLLA, CA
MORGAN STANLEY · La Jolla, CA

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