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Carol P. Staniar

Ubs Financial Services Inc.

Annapolis, MD

Washington, DC

Chicago, IL

Annapolis, MD

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
MD RA APPROVED 2023-07-03
IL RA APPROVED 2014-03-06
DC RA APPROVED 2009-09-22
  • MD RA
    APPROVED
    Since 2023-07-03
  • IL RA
    APPROVED
    Since 2014-03-06
  • DC RA
    APPROVED
    Since 2009-09-22

Branch Locations

3 Park Place 3Rd Floor, Annapolis, MD 21401 • United States

1700 M Street Nw 5Th Floor, Washington, DC 20036 • United States

One North Wacker Drive Ste 3300, Chicago, IL 60606 • United States

Annapolis, MD • 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 Washington DC 09/2006 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2009-07-15
  • S66 Uniform Combined State Law Examination
    2009-07-15
Other Names
  • Carol Ann Putnam
  • Carol A. Staniar

View on SEC IAPD

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Other Offices

AMERIPRISE FINANCIAL SERVICES, LLC · ANNAPOLIS, MD
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · ANNAPOLIS, MD
CETERA INVESTMENT ADVISERS LLC · Annapolis, MD
RCS FINANCIAL PLANNING, LLC · ANNAPOLIS, MD
AMERIPRISE FINANCIAL SERVICES, LLC · Annapolis, MD
MARINER INDEPENDENT · Annapolis, MD
EQUITABLE ADVISORS, LLC · ANNAPOLIS, MD
WELLS FARGO CLEARING SERVICES, LLC · ANNAPOLIS, MD

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