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Debbie Sumiko Fanning

Ubs Financial Services Inc.

Long Beach, CA

Los Angeles, CA

CRD 1551950

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Employer firm

Ubs Financial Services Inc. CRD 8174

$916B regulatory AUM 18,245 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers
  • Periodicals / newsletters

From the firm’s Form ADV. Read the guides:

Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2007-11-20
TX RA APPROVED 2007-11-20
  • CA RA
    APPROVED
    Since 2007-11-20
  • TX RA
    APPROVED
    Since 2007-11-20

Branch Locations

Long Beach, CA • United States

2000 Avenue Of The Stars 12Th Floor South, Los Angeles, CA 90067 • 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. Los Angeles CA 11/2007 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2003-04-15
S63 Uniform Securities Agent State Law Examination 1986-12-06
  • S66 Uniform Combined State Law Examination
    2003-04-15
  • S63 Uniform Securities Agent State Law Examination
    1986-12-06
Other Names
  • Debbie Sumiko Saruwatari

View on SEC IAPD

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