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Caitlin B Walsh

Ubs Financial Services Inc.

Atlanta, GA

Denver, CO

Arvada, CO

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
CO RA APPROVED 2023-08-09
GA RA APPROVED 2023-05-08
  • CO RA
    APPROVED
    Since 2023-08-09
  • GA RA
    APPROVED
    Since 2023-05-08

Branch Locations

3560 Lenox Road Ne Suite 2800, Atlanta, GA 30326 • United States

370-17Th Street, Denver, CO 80202 • United States

Arvada, CO • 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
E*Trade Securities Llc Alpharetta GA 09/2021 03/2022
Primrose School Of Roswell North Roswell GA 10/2020 09/2021
Chiringo Santa Rosa Beach FL 07/2020 10/2020
Itrip Vacations Beaches Of 30A Santa Rosa Beach FL 03/2019 07/2020
Greystone Boutique Santa Rosa Beach FL 10/2018 03/2019
Kennesaw State University Kennesaw GA 12/2017 10/2018
Solar Dimensions Tanning Kennesaw GA 09/2017 12/2017
Kennesaw State University Kennesaw GA 03/2015 09/2017
Ubs Financial Services Inc. Atlanta GA 04/2022 Present
  • 09/2021 → 03/2022
    E*Trade Securities Llc
    Alpharetta, GA
  • 10/2020 → 09/2021
    Primrose School Of Roswell North
    Roswell, GA
  • 07/2020 → 10/2020
    Chiringo
    Santa Rosa Beach, FL
  • 03/2019 → 07/2020
    Itrip Vacations Beaches Of 30A
    Santa Rosa Beach, FL
  • 10/2018 → 03/2019
    Greystone Boutique
    Santa Rosa Beach, FL
  • 12/2017 → 10/2018
    Kennesaw State University
    Kennesaw, GA
  • 09/2017 → 12/2017
    Solar Dimensions Tanning
    Kennesaw, GA
  • 03/2015 → 09/2017
    Kennesaw State University
    Kennesaw, GA
  • 04/2022 → Present
    Ubs Financial Services Inc.
    Atlanta, GA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2023-05-03
S63 Uniform Securities Agent State Law Examination 2022-01-25
  • S66 Uniform Combined State Law Examination
    2023-05-03
  • S63 Uniform Securities Agent State Law Examination
    2022-01-25
Other Names
  • Caitlin B Walsh
  • Caitlin Walsh

View on SEC IAPD

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LIQUID STRATEGIES, LLC · ATLANTA, GA
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BISON WEALTH, LLC · ATLANTA, GA
BRIGHTER INVESTING, PB LLC · ATLANTA, GA
RBC CAPITAL MARKETS, LLC · Atlanta, GA
HB WEALTH · Atlanta, GA
AMERIPRISE FINANCIAL SERVICES, LLC · Atlanta, GA
NEWEDGE ADVISORS · Atlanta, GA

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