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Carl Thomas Nelson

Ubs Financial Services Inc.

Los Angeles, CA

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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 2021-02-01
CA RA APPROVED 2020-09-22
  • TX RA
    APPROVED_RES
    Since 2021-02-01
  • CA RA
    APPROVED
    Since 2020-09-22

Branch Locations

2000 Avenue Of The Stars 12Th Floor South, Los Angeles, CA 90067 • 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
Wells Fargo Bank, N.A. Los Angeles CA 08/2004 09/2020
Wells Fargo Advisors Llc Los Angeles CA 03/2011 11/2016
Wells Fargo Clearing Services, Llc Los Angeles CA 11/2016 09/2020
Ubs Financial Services Inc. Los Angeles CA 09/2020 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2012-09-13
  • S66 Uniform Combined State Law Examination
    2012-09-13
Other Names
  • Carl Nelson

View on SEC IAPD

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