Alexander Houghton Phillips

Current Employers

Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2009-03-05
CA	RA	APPROVED	2008-12-15

TX RA
APPROVED_RES

Since 2009-03-05
CA RA
APPROVED

Since 2008-12-15

Branch Locations

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

Pacific Palisade, 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	Los Angeles	CA	12/2008	Present

12/2008 → Present

Ubs Financial Services Inc

Los Angeles, CA

Previous Registrations

2002-04-05 → 2008-12-20

Citigroup Global Markets Inc.

Los Angeles, CA

Los Angeles, CA

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1993-11-09
S63	Uniform Securities Agent State Law Examination	1993-11-01

S65 Uniform Investment Adviser Law Examination

1993-11-09
S63 Uniform Securities Agent State Law Examination

1993-11-01

Other Names

Alex Houghton Phillips

View on SEC IAPD