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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2021-07-26
CA RA APPROVED 2021-02-23
  • TX RA
    APPROVED
    Since 2021-07-26
  • CA RA
    APPROVED
    Since 2021-02-23

Branch Locations

2000 Avenue Of The Stars 12Th Floor South, Los Angeles, CA 90067 • 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
J.P. Morgan Securities Llc Los Angeles CA 10/2011 02/2021
J.P. Morgan Chase Bank, Na Los Angeles CA 11/2016 02/2021
Villanova University Villanova PA 11/2019 Present
11444 Llc Pacific Palisades CA 11/2020 Present
Ubs Financial Services Inc Los Angeles CA 02/2021 Present
  • 10/2011 → 02/2021
    J.P. Morgan Securities Llc
    Los Angeles, CA
  • 11/2016 → 02/2021
    J.P. Morgan Chase Bank, Na
    Los Angeles, CA
  • 11/2019 → Present
    Villanova University
    Villanova, PA
  • 11/2020 → Present
    11444 Llc
    Pacific Palisades, CA
  • 02/2021 → Present
    Los Angeles, CA
Other Businesses

1)11444 LLC/Investment related: Y/Address: 773 Hartzell St,Pacific Palisades, CA 90272/Real Estate/ Partner/own and rent condos/ /Personally investing in or owning another company/Start Date:12/8/2020/ Approximate # of hours a month: 0 hours dedicated per month Approximate # of hours during securities trading hours: 0 Hours during trading/ 2)Entity Name: Villanova University Investment related: No Address: 800 Villanova, PA Nature of the other business: University Position/Title/Relationship: Adjunct Faculty Start Date: 09-Nov-2019 Approximate # of hours a month: 20 hours a year Approximate # of hours during securities trading hours: 0 Briefly describe your duties: Teach a finance class. Adjunct Faculty in Finance Department 3)Entity Name: none Investment related: Yes Address: Pacific Palisades, CA Nature of the other business: Rent out two condos. Position/Title/Relationship: Owner Start Date: 02-Sep-2015 Approximate # of hours a month: 0 Approximate # of hours during securities trading hours: 0 Briefly describe your duties: Renting the condos out and maintenance 4) ENTITY NAME: NONE INVESTMENT RELATED: YES ADDRESS: 938 18TH ST, SANTA MONICA CA 90403 NATURE OF THE OTHER BUSINESS: RENT OUT A CONDO. POSITION/TITLE/RELATIONSHIP: SOLE PROPRIETOR (OWNER OF 100% OF THE BUSINESS) START DATE: 9/2/2015 APPROXIMATE # OF HOURS A MONTH: 1 APPROXIMATE # OF HOURS DURING SECURITIES TRADING HOURS: 0 BRIEFLY DESCRIBE YOUR DUTIES: NO; NONE 5) Villanova University/800 Lancaster Ave/Villanova 19085 US/teach accounting and finance/11/1/2019/Investment related?:no/time off work?:no 6) Bracket Fund III / 10000 Santa Monica BlvdLos AngelesSuite 2903CA / venture capital firm investing in early stage tech and consumer companies / investing as an LP in venture capital fund / zero / 6/30/2022 7) Village School, volunteer member of investment committee, Advisor or advisory group member if advice given may influence an officer/board, the finance committee will advise the board on budget matter, START DATE-8/30/202, Pacific PalisadesCAUnited States-90272.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2011-12-12
  • S63 Uniform Securities Agent State Law Examination
    2011-12-12
Designations
Other Names
  • Patrick Thomas Schaffer

View on SEC IAPD

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