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Sullivan Higson

Ubs Financial Services Inc.

Charlotte, NC

CRD 7375933

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Employer firm

Ubs Financial Services Inc. CRD 8174

$916B regulatory AUM 18,245 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers
  • Periodicals / newsletters

From the firm’s Form ADV. Read the guides:

Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
GA RA APPROVED 2023-03-20
TX RA APPROVED 2023-03-16
NC RA APPROVED 2023-02-21
  • GA RA
    APPROVED
    Since 2023-03-20
  • TX RA
    APPROVED
    Since 2023-03-16
  • NC RA
    APPROVED
    Since 2023-02-21

Branch Locations

6100 Fairview Road 9Th Floor, Charlotte, NC 28277 • 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
Jeter Hrubala Wealth Strategies Llc Spartanburg SC 06/2020 08/2021
The O'BRien Tate Group Charlotte NC 02/2022 05/2022
The O'BRien Tate Group Charlotte NC 06/2022 06/2022
Wofford College Spartanburg SC 09/2018 05/2022
Providence High School Charlotte NC 08/2014 06/2018
Ubs Financial Services Inc Charlotte NC 06/2022 Present
  • 06/2020 → 08/2021
    Jeter Hrubala Wealth Strategies Llc
    Spartanburg, SC
  • 02/2022 → 05/2022
    The O'BRien Tate Group
    Charlotte, NC
  • 06/2022 → 06/2022
    The O'BRien Tate Group
    Charlotte, NC
  • 09/2018 → 05/2022
    Wofford College
    Spartanburg, SC
  • 08/2014 → 06/2018
    Providence High School
    Charlotte, NC
  • 06/2022 → Present
    Ubs Financial Services Inc
    Charlotte, NC
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2023-02-18
  • S66 Uniform Combined State Law Examination
    2023-02-18
Other Names
  • Sullivan Katherine Higson

View on SEC IAPD

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MUIRFIELD WEALTH ADVISORS LLC · CHARLOTTE, NC
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