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1200 Harbor Boulevard, Weehawken, NJ 07086 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| ID | RA | APPROVED | 2022-02-22 |
| TX | RA | APPROVED_RES | 2012-06-15 |
| CA | RA | APPROVED | 1997-07-08 |
Branch Locations
1200 Prospect Street Suite 100, La Jolla, CA 92037 • United States
1200 Prospect Street Suite 500, La Jolla, CA 92038 • United States
Hailey, ID • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc. | La Jolla | CA | 08/1989 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2022-02-18 |
| S63 | Uniform Securities Agent State Law Examination | 1989-11-13 |
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