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Carl Randolph Johnsen

Ubs Financial Services Inc.

Lake Oswego, OR

Henderson, NV

CRD 2922801

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Employer firm

Ubs Financial Services Inc. CRD 8174

$916B regulatory AUM 18,245 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers
  • Periodicals / newsletters

From the firm’s Form ADV. Read the guides:

Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
HI RA APPROVED 2023-05-04
NV RA APPROVED 2022-10-21
TX RA APPROVED 2013-10-28
  • HI RA
    APPROVED
    Since 2023-05-04
  • NV RA
    APPROVED
    Since 2022-10-21
  • TX RA
    APPROVED
    Since 2013-10-28

Branch Locations

5300 Meadows Rd Suite 300, Lake Oswego, OR 97035-3229 • United States

Henderson, NV • 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
OrganizationCityStateFromTo
Ubs Financial Services Inc Lake Oswego OR 10/2013 Present
Previous Registrations
  • 2009-06-01 → 2013-11-14
    Morgan Stanley
    Lake Oswego, OR
  • 2007-04-02 → 2009-06-01
    Morgan Stanley & Co. Llc
    Lake Oswego, OR
  • 2006-04-13 → 2007-04-02
    Morgan Stanley Dw Inc.
    Lake Oswego, OR
  • 2003-04-23 → 2006-04-27
    Citigroup Global Markets Inc.
    Portland, OR
    Portland, OR
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1997-09-18
S63 Uniform Securities Agent State Law Examination 1997-09-08
  • S65 Uniform Investment Adviser Law Examination
    1997-09-18
  • S63 Uniform Securities Agent State Law Examination
    1997-09-08

View on SEC IAPD

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