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Antoinette Doles Wong

Ubs Financial Services Inc.

Weehawken, NJ

Nashville, TN

Mt. Juliet, TN

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
TN RA APPROVED 2018-04-05
CA RA APPROVED 2010-08-02
  • TN RA
    APPROVED
    Since 2018-04-05
  • CA RA
    APPROVED
    Since 2010-08-02

Branch Locations

1200 Harbor Boulevard, Weehawken, NJ 07086 • UNITED STATES

315 Deadrick Street 16Th Floor, Nashville, TN 37238 • United States

Mt. Juliet, TN • 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 Nashville TN 08/2010 Present
Previous Registrations
  • 2010-02-17 → 2010-07-29
    Morgan Stanley
    Los Angeles, CA
  • 2009-06-01 → 2009-12-10
    Morgan Stanley
    Los Angeles, CA
  • 2004-05-19 → 2009-06-01
    Citigroup Global Markets Inc.
    Los Angeles, CA
    Los Angeles, CA
    Los Angeles, CA
  • 2003-09-17 → 2004-05-18
    Citicorp Investment Services
    Glendale, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1996-03-27
S63 Uniform Securities Agent State Law Examination 1994-12-19
  • S65 Uniform Investment Adviser Law Examination
    1996-03-27
  • S63 Uniform Securities Agent State Law Examination
    1994-12-19
Other Names
  • Antoinette Doles
  • Antoinette R Doles
  • Antoinette Doles-Wong
  • Antoinette Doles Wong
  • Antoinette Doles-Wong

View on SEC IAPD

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