Craig James Mccarty

Ubs Financial Services Inc.

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Current Employers

Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2025-06-16
OH	RA	APPROVED	2019-10-17

TX RA
APPROVED_RES

Since 2025-06-16
OH RA
APPROVED

Since 2019-10-17

Branch Locations

8044 Montgomery Road, Ste. 10 The Towers At Kenwood, Cincinnati, OH 45236 • 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

Organization	City	State	From	To
Ubs Financial Services	Cincinnati	OH	06/2018	Present
The Hartford	Cincinnati	OH	06/2014	06/2018

06/2018 → Present

Ubs Financial Services

Cincinnati, OH
06/2014 → 06/2018

The Hartford

Cincinnati, OH

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2019-10-29

S66 Uniform Combined State Law Examination

2019-10-29

View on SEC IAPD

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STIFEL, NICOLAUS & COMPANY, INCORPORATED

Other Investors

JEFFREY JOSEPH SPITZMILLER

ANDERS KRISTIAN JUEL

CHARLES FREDERICK HAIS

CHRISTOPHER CHARLES HAIS

CHARLES MICHAEL HAIS

JEFFREY ROBERT WALKUP

MICHAEL WILLIAM POPIL

BETH OKABAYASHI HODGES

Other Offices

QUEEN CITY CAPITAL MANAGEMENT, LLC · CINCINNATI, OH

OSAIC WEALTH, INC. · CINCINNATI, OH

BAHL & GAYNOR LLC · CINCINNATI, OH

BRIXEY & MEYER CAPITAL LLC · CINCINNATI, OH

OPUS CAPITAL MANAGEMENT · CINCINNATI, OH

FORMIDABLE ASSET MANAGEMENT, LLC · CINCINNATI, OH

RC CAPITAL · CINCINNATI, OH

STIFEL, NICOLAUS & COMPANY, INCORPORATED · CINCINNATI, OH

More in Cincinnati, OH

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