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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
CO RA APPROVED 2021-11-29
TX RA APPROVED_RES 2019-07-30
CA RA APPROVED 2009-04-23
  • CO RA
    APPROVED
    Since 2021-11-29
  • TX RA
    APPROVED_RES
    Since 2019-07-30
  • CA RA
    APPROVED
    Since 2009-04-23

Branch Locations

131 South Rodeo Drive Suite 300, Beverly Hills, CA 90212 • United States

Los Angeles, 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
OrganizationCityStateFromTo
Ubs Financial Services Inc Beverly Hills CA 04/2009 Present
Previous Registrations
  • 2001-05-15 → 2009-04-28
    Wells Fargo Investments, Llc
    Beverly Hills, CA
    Beverly Hills, CA
Other Businesses

HOME RENTAL FOR FILM / 2746 CLUB DRIVE LOS ANGELES,CA 90064 / START DATE 1/1/2014

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-06-29
S63 Uniform Securities Agent State Law Examination 1996-05-24
  • S65 Uniform Investment Adviser Law Examination
    1998-06-29
  • S63 Uniform Securities Agent State Law Examination
    1996-05-24
Other Names
  • Ken Josefsberg

View on SEC IAPD

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