Ron L Herring

Current Employers

Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2010-04-29
CA	RA	APPROVED	1997-07-08

TX RA
APPROVED_RES

Since 2010-04-29
CA RA
APPROVED

Since 1997-07-08

Branch Locations

1455 First Street Suite 300, Napa, CA 94559 • 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
Uilic	Birmingham	AL	11/1986	Present
Painewebber Incorporated	Napa	CA	09/1987	Present

11/1986 → Present

Uilic

Birmingham, AL
09/1987 → Present

Painewebber Incorporated

Napa, CA

Other Businesses

1. Napa Valley Basketball Alliance, Youth Basketball program, collect and pay out funds for youth basketball teams, Head Coach, start date-2/15/2019, Napa CAUnited States-94558.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2006-01-19
S63	Uniform Securities Agent State Law Examination	1987-12-07

S65 Uniform Investment Adviser Law Examination

2006-01-19
S63 Uniform Securities Agent State Law Examination

1987-12-07

Other Names

Ronnie Lee Herring

View on SEC IAPD

Current Employers

Ubs Financial Services Inc.

Disclosures

Employment History

Other Businesses

Exams

Other Names

Other Firms

Other Investors

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