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1200 Harbor Boulevard, Weehawken, NJ 07086 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2021-11-08 |
| TX | RA | APPROVED_RES | 2021-03-01 |
| CA | RA | APPROVED | 1997-07-08 |
Branch Locations
888 San Clemente Drive Suite 300, Newport Beach, CA 92660 • 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. | Newport Beach | CA | 06/1992 | Present |
1)JEWISH COMMUNITY FOUNDATION OF ORANGE COUNTY / 1 FEDERATION WAY IRVINE,CA 92603 / FOUNDATION/ CHARITIES, CULTURAL, EDUCATIONAL & POLITICAL ORGANISATIONS / ENDOWMENT FUNDRAISING / MEMBER BOD AND CHAIR OF INVESTMENT COMMITTEE / START DATE 07/15/2013 / 2)Robert Alan Ettl Insurance Trust / 500 Atlantic Ave, 21F Boston,MA 02210 / Trust/ Other Life insurance trust / Life insurance - estate planning / Trustee / / Monitor policy / Start Date 11/30/2010 / 3) Marian Joy Ettl 2017 Insurance Trust/investment related?: yes/ Stone Ridge, NY, 12484-5552 US/ Pay annual life insurance premium/ start date: 11/11/2020
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1992-07-02 |
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