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Brendan Farley Carroll

Ubs Financial Services Inc.

Los Angeles, CA

West Palm Beach, FL

West Palm Beach, FL

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2018-08-21
CA RA APPROVED 2012-06-09
  • FL RA
    APPROVED
    Since 2018-08-21
  • CA RA
    APPROVED
    Since 2012-06-09

Branch Locations

2000 Avenue Of The Stars 12Th Floor South, Los Angeles, CA 90067 • United States

525 Okeechobee Blvd Suite 1500, West Palm Beach, FL 33401 • United States

West Palm Beach, FL • 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 Los Angeles CA 01/2012 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2012-06-08
  • S66 Uniform Combined State Law Examination
    2012-06-08

View on SEC IAPD

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