Lee M. Mccarthy

Current Employers

Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

Authority	Category	Status	Date
WI	RA	APPROVED	2016-05-26

WI RA
APPROVED

Since 2016-05-26

Branch Locations

Oconomowoc, WI • United States

17335 Golf Parkway Suite 525, Brookfield, WI 53045 • 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

Organization	City	State	From	To
Ubs Financial Services Inc	Milwaukee	WI	07/2013	Present

07/2013 → Present

Ubs Financial Services Inc

Milwaukee, WI

Other Businesses

St. Jerome Parish School / 1001 Silver Lake St Oconomowoc,Wisconsin 53066 / Other/ Education / Education / Other / Organize and facilitate fundraiser dinner / Send out initiations and sell tickets to dinner. / Start Date Catholic Elementary School 11/1/2017 /

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2016-05-26
S63	Uniform Securities Agent State Law Examination	2003-08-20

S66 Uniform Combined State Law Examination

2016-05-26
S63 Uniform Securities Agent State Law Examination

2003-08-20