Best Investors Account Sign in

Angel Herman

Ubs Financial Services Inc.

Winston-Salem, NC

Claim This Profile
Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
NC RA APPROVED 2014-07-23
  • NC RA
    APPROVED
    Since 2014-07-23

Branch Locations

380 Knollwood Street, Winston-Salem, NC 27103 • 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. Winston-Salem NC 07/2014 Present
Previous Registrations
  • 2008-12-09 → 2012-08-28
    Lpl Financial Llc
    Winston Salem, NC
    Winston-Salem, NC
    Fort Mill, SC
    Winston Salem, NC
    Winston-Salem, NC
    Dobson, NC
    Walnut Cove, NC
    Sandy Ridge, NC
    Madison, NC
    Winston-Salem, NC
  • 2007-04-02 → 2007-10-18
    Morgan Stanley & Co. Llc
    Winston-Salem, NC
  • 2006-09-21 → 2007-04-02
    Morgan Stanley Dw Inc.
    Winston-Salem, NC
  • 2004-11-29 → 2005-03-09
    Lpl Financial Llc
    Abingdon, VA
  • 2003-02-19 → 2004-03-31
    Bb&T Investment Services, Inc.
    Charlotte, NC
Other Businesses

Defining Home, LLC / 3495 Meridian Way Winston-Salem,NC 27104 / No/ Privately Held / USD / No / No / / Start Date 03/28/2016 /

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2000-04-18
  • S66 Uniform Combined State Law Examination
    2000-04-18
Other Names
  • Angel Lavoane Clifton-Earls
  • Angel Lavoane Clifton
  • Angel Lavoane Clifton-Earls
  • Angel Clifton Earls
  • Angel C Clifton-Earls
  • Angel Clifton Earls
  • Anjel Clifton Earls
  • Angel Herman
  • Angel Clifton Earls

View on SEC IAPD

Other Firms

SALEM INVESTMENT COUNSELORS INC
JT STRATFORD, LLC
DARDA FINANCIAL
FIRST CITIZENS INVESTOR SERVICES, INC.
CETERA INVESTMENT ADVISERS LLC
PRINCIPAL SECURITIES, INC.
PARK AVENUE SECURITIES LLC
VIRTUE CAPITAL MANAGEMENT, LLC

Other Investors

DALE MARTIN BROWN
DAVID BRIAN REA
JAMES JOYNER EDMUNDSON
KRISTOPHER SHEA ABERNETHY
JESSE FRANKLIN GOINS
KENNETH SCOTT JONES
GEORGE GARFIELD KEENER
MATTHEW STEPHEN SIMMONS

Other Offices

SALEM INVESTMENT COUNSELORS INC · WINSTON SALEM, NC
JT STRATFORD, LLC · WINSTON-SALEM, NC
DARDA FINANCIAL · WINSTON-SALEM, NC
FIRST CITIZENS INVESTOR SERVICES, INC. · WINSTON-SALEM, NC
CETERA INVESTMENT ADVISERS LLC · WINSTON-SALEM, NC
PRINCIPAL SECURITIES, INC. · WINSTON SALEM, NC
PARK AVENUE SECURITIES LLC · WINSTON-SALEM, NC
VIRTUE CAPITAL MANAGEMENT, LLC · WINSTON-SALEM, NC

More in Winston-salem, NC

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor