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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 1997-07-08
  • CA RA
    APPROVED
    Since 1997-07-08

Branch Locations

3011 Townsgate Road Suite 300, Westlake Village, CA 91361 • United States

Oak Park, CA • United States

Disclosures

2 disclosure categories 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 Yes
  • 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 Westlake Village CA 11/2013 Present
Other Businesses

1) 24 HOUR FITNESS. THOUSAND OAKS, CA 91360 START DATE 01/13/03 BUSINESS - HEALTH CLUB TITLE - INSTRUCTOR 3-4 HOURS PER WEEK DUTIES - AEROBICS INSTRUCTION // 2) SPECTRUM CLUB / FITNESS CENTER (GYM)/ 2400 WILLOW LANE THOUSAND OAKS, CA 91361 / GROUP X INSTRUCTOR/ START DATE 5/22/2013 - / 4 HRS // 3) Yarrow Family YMCA / 31105 Thousand Oaks Blvd. Westlake Village, CA 91362 / United States / Youth development / Sports Facility / Indoor cycling instructor / No / No / No / Start Date 9/7/2019 // 4) Fitness 19 / Gym / Fitness Center / 161 N. Reino Rd. Newbury Park, CA 91320 / United States / Fitness instructor - one hour per week / fitness19.com / Start Date 2/25/2020 // 5) Gold's Gym; Fitness center (Gym); 197 N Moorpark Rd, Thousand Oaks, CA 91360; Group X instructor; Start date: 6/5/2013; Hours per month: 4; Investment-related: No 6)NAME OF OTHER BUSINESS:Crunch fitness / INVESTMENT RELATED?: N / ADDRESS: 2655 Erringer Road,simi valley / NATURE OF THE BUSINESS: Fitness center (Gym) / POSITION: Group X instructor / DUTIES:/ START DATE: 7/14/22 / HOURS DEVOTED TO BUSINESS: NA

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1987-12-08
  • S63 Uniform Securities Agent State Law Examination
    1987-12-08
Other Names
  • W Stephen Costas
  • Steve Costas

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