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1200 Harbor Boulevard, Weehawken, NJ 07086 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2008-05-06 |
| CA | RA | APPROVED | 1997-07-08 |
Branch Locations
1610 Arden Way, Sacramento, CA 95815 • United States
1610 Arden Way Suite 200, Sacramento, CA 95815 • United States
Elk Grove, CA • United States
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc. | Sacramento | CA | 07/1989 | Present |
1. FINRA. YES, INVESTMENT RELATED. BUSINESS - SECURITIES ARBITRATION. TITLE - INDUSTRY ARBITRATOR. START DATE - 02/02/2004. DUTIES - SERVE ON SECURITIES ARBITRATION PANELS START DATE - 03/01/2002. DUTIES - SERVE ON SECURITIES ARBITRATION PANELS. 2)Barbara Stevens Family Trust - Successor trustee for my Aunt, Barbara Stevens as she has passed away. The activity is settling her estate. Start date 8/1/22.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1990-03-16 |
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