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Marblehead, MA • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TN | RA | APPROVED | 2026-08-11 |
| IL | RA | APPROVED | 2026-06-02 |
| TX | RA | APPROVED | 2025-11-24 |
| CA | RA | APPROVED | 2025-09-12 |
| NY | RA | APPROVED | 2025-09-02 |
| FL | RA | APPROVED | 2025-01-15 |
| WA | RA | APPROVED | 2024-07-22 |
| UT | RA | APPROVED | 2023-09-21 |
| NC | RA | APPROVED | 2023-06-22 |
| LA | RA | APPROVED | 2020-05-13 |
| MA | RA | APPROVED | 2020-05-06 |
Branch Locations
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services, Inc. | New Orleans | LA | 08/2015 | 06/2017 |
| Ubs Financial Services, Inc. | New Orleans | LA | 07/2017 | 11/2018 |
| Minot Wealth Management | Westwood | MA | 04/2019 | 07/2019 |
| Civitas, Llc | Louisville | KY | 08/2019 | 04/2020 |
| Theory Planning Partners, Llc | Marblehead | MA | 04/2020 | Present |
| Ubs Financial Services, Inc. | Boston | MA | 12/2018 | 03/2019 |
1) Name: Carlson 7Gen Ventures; Investment Related: No; Start Date: 04/2024; Approx. hours p/month during trading hours: 1 hour; Description: The LLC was formed solely for personal purposes to hold ownership of a residential condominium occupied by a member of Mrs. Carlson's family. The LLC does not conduct any other business operations.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2014-05-23 |
| S63 | Uniform Securities Agent State Law Examination | 2014-01-13 |
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