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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2012-10-30
NC RA APPROVED 2012-09-10
  • TX RA
    APPROVED
    Since 2012-10-30
  • NC RA
    APPROVED
    Since 2012-09-10

Branch Locations

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

Charlotte, NC • 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. Charlotte NC 07/2012 Present
Other Businesses

1) 2601 RICHARDSON LLC / 2601 RICHARDSON DRIVE CHARLOTTE, NC 28211 / OTHER/ REAL ESTATE / PERSONAL RESIDENCE /MAJORITY MEMBER / ANYTHING RELATED TO THE MAINTENANCE OF THE PROPERTY / START DATE 04/01/2011 - 10/01/2099 / 2) Women's Impact Fund / 2525 Distribution Street Charlotte,NC 28203 / Other/ Charities, Cultural, Educational & Political Organisations / awards grants to nonprofits in mecklenburg county / Member of Board of Directors / / attend events & meetings, responsible for member annual fund and corporate sponsorship funding for the organization / Start Date 07/01/2017/ End Date 06/30/2018/ pooled grant-making / collective giving 43281 / 3)Good Friends Charlotte / 1307 West Morehead Street, Suite 207 Charlotte,NC 28208 / Charity/ Charity / helping disadvantaged individuals in Mecklenburg county / Member of Board of directors / / board level oversight of the organization including operations and strategy / Start Date 1/4/2019/ 4) Women's Impact Fund / United States / 2525 Distribution Street, Charlotte, NC 28203/ No / Other / pooled grant-making / collective giving / Charities, Cultural, Educational & Political Organisations / awards grants to nonprofits in mecklenburg county / Member of Board of directors / Incoming Board Chair 2019-2020, Board Chair 2020-2021, and Chair of the Governance Committee 2021-2022 / Start Date 7/1/2019 / www.womensimpactfund.org No / 43647 5) Truffle Shuffle LLC/ investment related?: yes/ Charlotte, NC 28211/ This is an LLC which owns my primary residence and exists for privacy reasons. There are no other assets in the LLC or members of the LLC./Proprietor / owner/ start date:4/1/2011 6) Name of Business: YWCA Central Carolinas./ Address; 3420 Park RdCharlotte NCUnited States 28209./ Investment Related: No./ Nature: nonprofit conducting housing programs, racial advocacy, childrens programs./ Role: Member of Board of directors./ Duty: was asked to sit on the endowment board as an at large member of the board of directors; bod is responsible for carrying out the mission and strategy of the ywca./ Start Date: 7/1/2023./ Hours Devoted: No./ Time Required: N/A. 6) SECSA LLCManager; family investment partnership, Officer, Manager of family partnership for investments, start date-12/1/2022, CharlotteUnited States-28211.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2012-09-07
S63 Uniform Securities Agent State Law Examination 2005-09-27
  • S66 Uniform Combined State Law Examination
    2012-09-07
  • S63 Uniform Securities Agent State Law Examination
    2005-09-27
Other Names
  • Ellen Elizabeth Rankin
  • Ellen E. Elizabeth Rankin

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