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Rodney Colon Haug

Ubs Financial Services Inc.

Walnut Creek, CA

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2016-07-26
CA RA APPROVED 2016-06-10
  • TX RA
    APPROVED_RES
    Since 2016-07-26
  • CA RA
    APPROVED
    Since 2016-06-10

Branch Locations

1255 Treat Blvd Suite 1000, Walnut Creek, CA 94597 • 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. Walnut Creek CA 06/2016 Present
Previous Registrations
  • 2009-06-01 → 2016-07-08
    Morgan Stanley
    Walnut Creek, CA
  • 2007-04-02 → 2009-06-01
    Morgan Stanley & Co. Llc
    Walnut Creek, CA
  • 1997-07-08 → 2007-04-02
    Morgan Stanley Dw Inc.
    Walnut Creek, CA
    Walnut Creek, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-07-17
S63 Uniform Securities Agent State Law Examination 1988-01-29
  • S65 Uniform Investment Adviser Law Examination
    1999-07-17
  • S63 Uniform Securities Agent State Law Examination
    1988-01-29
Other Names
  • Rodney Haug

View on SEC IAPD

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Other Offices

USCF ADVISERS · WALNUT CREEK, CA
BURTON ENRIGHT WELCH · WALNUT CREEK, CA
WEALTH ENHANCEMENT ADVISORY SERVICES, LLC · WALNUT CREEK, CA
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · WALNUT CREEK, CA
SAVANT WEALTH MANAGEMENT · Walnut Creek, CA
ONE CAPITAL MANAGEMENT, LLC · Walnut Creek, CA
ROCKEFELLER FINANCIAL LLC · Walnut Creek, CA
OSAIC WEALTH, INC. · WALNUT CREEK, CA

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