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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2023-08-03
NC RA APPROVED 2011-09-20
  • TX RA
    APPROVED_RES
    Since 2023-08-03
  • NC RA
    APPROVED
    Since 2011-09-20

Branch Locations

317 W. Barbee Chapel Road, Chapel Hill, NC 27517 • United States

3700 Glenwood Avenue Suite 300, Raleigh, NC 27612 • 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 Raleigh NC 09/2011 05/2017
Ubs Financial Services Inc Raleigh NC 06/2017 Present
Previous Registrations
Other Businesses

1. Bay Hale Farm LLC, Raleigh NCUnited States-27612, Company, Agriculture & Livestock, LLC for our Farm, Partner, Running of the farm and the LLC, start date-9/19/2025, investment related-Yes.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2009-06-19
  • S66 Uniform Combined State Law Examination
    2009-06-19

View on SEC IAPD

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