Diane Marie Galvin

Current Employers

Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2012-11-05
TX	RA	APPROVED_RES	2012-11-05

CA RA
APPROVED

Since 2012-11-05
TX RA
APPROVED_RES

Since 2012-11-05

Branch Locations

3011 Townsgate Road Suite 300, Westlake Village, CA 91361 • United States

Moorpark, CA • 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

Organization	City	State	From	To
Ubs Financial Services Inc.	Westlake Village	CA	11/2012	Present

11/2012 → Present

Ubs Financial Services Inc.

Westlake Village, CA

Previous Registrations

2009-06-01 → 2012-11-15

Morgan Stanley

Thousand Oaks, CA
2007-04-02 → 2009-06-01

Morgan Stanley & Co. Llc

Thousand Oaks, CA
1997-07-08 → 2007-04-02

Morgan Stanley Dw Inc.

Thousand Oak, CA

Thousand Oaks, CA

Other Businesses

Rotary Club of Moorpark; PO Box 172, Moorpark, CA 93020; Charity; Community Service organization; Officer; President - run weekly meetings; Start date: 6/27/2024

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1999-12-29
S63	Uniform Securities Agent State Law Examination	1985-12-30

S65 Uniform Investment Adviser Law Examination

1999-12-29
S63 Uniform Securities Agent State Law Examination

1985-12-30

Designations

View on SEC IAPD

Current Employers

Ubs Financial Services Inc.

Disclosures

Employment History

Previous Registrations

Other Businesses

Exams

Designations

Other Firms

Other Investors

Other Offices

Reviews