Nancy Springer Ubaldi

Ubs Financial Services Inc.

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Current Employers

Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2010-01-25
CA	RA	APPROVED	1997-07-08

TX RA
APPROVED_RES

Since 2010-01-25
CA RA
APPROVED

Since 1997-07-08

Branch Locations

355 Santana Row Suite 2050, San Jose, CA 95128 • United States

Dublin, 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.	San Jose	CA	01/1995	Present

01/1995 → Present

Ubs Financial Services Inc.

San Jose, CA

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1992-01-22
S63	Uniform Securities Agent State Law Examination	1986-12-02

S65 Uniform Investment Adviser Law Examination

1992-01-22
S63 Uniform Securities Agent State Law Examination

1986-12-02

Other Names

Nancy Springer

View on SEC IAPD

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