Robert Micheal Stringer

Current Employers

Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2017-04-10
CA	RA	APPROVED	2015-10-05

TX RA
APPROVED_RES

Since 2017-04-10
CA RA
APPROVED

Since 2015-10-05

Branch Locations

2000 Avenue Of The Stars 12Th Floor South, Los Angeles, CA 90067 • United States

Sherman Oaks, CA • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Ubs Financial Services Inc	Century City	CA	10/2015	Present

10/2015 → Present

Ubs Financial Services Inc

Century City, CA

Previous Registrations

2009-06-01 → 2015-10-07

Morgan Stanley

Beverly Hills, CA
2007-04-02 → 2009-06-01

Morgan Stanley & Co. Llc

Beverly Hills, CA
2007-03-02 → 2007-04-02

Morgan Stanley Dw Inc.

Beverly Hills, CA
2003-01-03 → 2007-03-09

Oppenheimer & Co. Inc.

Los Angeles, CA

Los Angeles, CA
1997-07-08 → 2003-01-03

Cibc World Markets Corp.

Los Angeles, CA

Other Businesses

1. PRIVATE SECURITY INVESTMENT- THINK OUTSIDE COMPUTER HARDWARE 2. STRINGBEAN ENTERTAINMENT; 01/2013

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1996-12-06
S63	Uniform Securities Agent State Law Examination	1987-06-05

S65 Uniform Investment Adviser Law Examination

1996-12-06
S63 Uniform Securities Agent State Law Examination

1987-06-05

Other Names

Bob Stringer
Robert Stringer

View on SEC IAPD