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Louis Patrick Carberry

Ubs Financial Services Inc.

Northfield, NJ

Weehawken, NJ

Philadelphia, PA

North Wildwood, NJ

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
PA RA APPROVED 2022-06-23
  • PA RA
    APPROVED
    Since 2022-06-23

Branch Locations

1337 Tilton Road, Northfield, NJ 08225 • United States

1200 Harbor Boulevard, Weehawken, NJ 07086 • UNITED STATES

Philadelphia, PA • United States

North Wildwood, NJ • 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
Bnp Paribas King Of Prussia PA 09/2011 12/2016
Capital One Investing, Llc Wilmington DE 07/2017 01/2018
Unemployed Philadelphia PA 01/2017 07/2017
Oppenheimer & Co Jenkintown PA 01/2018 02/2020
Wells Fargo Clearing Services, Llc Philadelphia PA 02/2020 06/2022
Ubs Financial Services Inc Philadelphia PA 06/2022 Present
  • 09/2011 → 12/2016
    Bnp Paribas
    King Of Prussia, PA
  • 07/2017 → 01/2018
    Capital One Investing, Llc
    Wilmington, DE
  • 01/2017 → 07/2017
    Unemployed
    Philadelphia, PA
  • 01/2018 → 02/2020
    Oppenheimer & Co
    Jenkintown, PA
  • 02/2020 → 06/2022
    Wells Fargo Clearing Services, Llc
    Philadelphia, PA
  • 06/2022 → Present
    Ubs Financial Services Inc
    Philadelphia, PA
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2018-01-19
S63 Uniform Securities Agent State Law Examination 2006-03-28
S66 Uniform Combined State Law Examination 2000-08-28
  • S65 Uniform Investment Adviser Law Examination
    2018-01-19
  • S63 Uniform Securities Agent State Law Examination
    2006-03-28
  • S66 Uniform Combined State Law Examination
    2000-08-28
Other Names
  • Louis Carberry
  • Louis Patrick Carberry

View on SEC IAPD

Other Firms

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BENJAMIN F. EDWARDS & COMPANY, INC.
EDWARD JONES
PROSPERA FINANCIAL SERVICES, INC.
NORTHSTAR ADVISORY GROUP, LLC
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CONCURRENT INVESTMENT ADVISORS, LLC
TOEWS ASSET MANAGEMENT

Other Investors

THOMAS EDWARD REYNOLDS
MATTHEW JOHN REYNOLDS
JEFFREY WILBUR HILLIARD
ROBERT THOMAS MARTIN
GORDON SCHURCH SHEARER
JENNIFER MARIE COLON
DONNA SAVASTANI
Jarman Edward Reilly

Other Offices

CRA FINANCIAL SERVICES, L.L.C. · NORTHFIELD, NJ
BENJAMIN F. EDWARDS & COMPANY, INC. · NORTHFIELD, NJ
EDWARD JONES · NORTHFIELD, NJ
PROSPERA FINANCIAL SERVICES, INC. · Northfield, NJ
EDWARD JONES · Egg Harbor Township, NJ
NORTHSTAR ADVISORY GROUP, LLC · NORTHFIELD, NJ
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · Northfield, NJ
CONCURRENT INVESTMENT ADVISORS, LLC · Northfield, NJ

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