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JOAN A. STERN
CRD#: 4530882
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 3011 TOWNSGATE ROAD
SUITE 300
WESTLAKE VILLAGE, CA 91361
Registration History
20022004200620082010201220142016201820202022202420262 FIRMS2002 - Present (22 years)
License(s)

State Registrations

B
Arizona 11/8/2012

B
Nevada 1/17/2020

B
California 8/5/2002

B
New Mexico 4/14/2020

IA
California 8/28/2002

B
New York 2/24/2006

B
Maryland 11/8/2012

B
Oregon 4/8/2019

SRO Registrations

B
BOX Exchange LLC

B
Cboe Exchange, Inc.

B
FINRA

B
NYSE American LLC

B
NYSE Arca, Inc.

B
NYSE Chicago, Inc.

B
Nasdaq ISE, LLC

B
Nasdaq PHLX LLC

B
Nasdaq Stock Market

B
New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
UBS FINANCIAL SERVICES INC. (CRD#:8174)
3011 TOWNSGATE ROAD SUITE 300, WESTLAKE VILLAGE, CA 91361
Agoura Hills, CA
Registered with this firm since 8/28/2002

B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
3011 TOWNSGATE ROAD SUITE 300, WESTLAKE VILLAGE, CA 91361
Agoura Hills, CA
Registered with this firm since 6/10/2002

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B
Broker
IA
Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.