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John Hardy Stanford

Ubs Financial Services Inc.

Charlotte, NC

Davidson, NC

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
MS RA APPROVED 2023-09-07
TX RA APPROVED_RES 2018-04-10
NC RA APPROVED 2014-06-26
  • MS RA
    APPROVED
    Since 2023-09-07
  • TX RA
    APPROVED_RES
    Since 2018-04-10
  • NC RA
    APPROVED
    Since 2014-06-26

Branch Locations

6100 Fairview Road 9Th Floor, Charlotte, NC 28211 • United States

Davidson, NC • 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
OrganizationCityStateFromTo
Ubs Financial Services Inc. Charlotte NC 05/2014 Present
Previous Registrations
  • 2008-03-28 → 2014-06-05
    Wells Fargo Clearing Services, Llc
    Charlotte, NC
    Charlotte, NC
    Charlotte, NC
    Charlotte, NC
  • 2006-05-04 → 2008-04-08
    Uvest Financial Services Group, Inc.
    Charlotte, NC
    Charlotte, NC
    Huntersville, NC
  • 2005-09-08 → 2006-05-08
    J. W. Cole Advisors, Inc.
    Orlando, FL
  • 2000-10-04 → 2004-09-30
    A. G. Edwards & Sons, Inc.
    Orlando, FL
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2005-08-17
S63 Uniform Securities Agent State Law Examination 2000-10-05
  • S65 Uniform Investment Adviser Law Examination
    2005-08-17
  • S63 Uniform Securities Agent State Law Examination
    2000-10-05
Other Names
  • John H Stanford

View on SEC IAPD

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