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Louis C Mccabe

Ubs Financial Services Inc.

Washington, DC

San Francisco, CA

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2023-04-04
DC RA APPROVED 2021-02-18
  • CA RA
    APPROVED
    Since 2023-04-04
  • DC RA
    APPROVED
    Since 2021-02-18

Branch Locations

1700 M Street Nw 5Th Floor, Washington, DC 20036 • United States

555 California St 34Th, 36Th & 46Th Floors, San Francisco, CA 94104 • 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
Goldman Sachs & Co. Llc Washington DC 01/2019 09/2020
Pricewaterhousecoopers Llp Washington DC 07/2015 12/2018
Ubs Financial Services Inc. Washington DC 09/2020 Present
  • 01/2019 → 09/2020
    Goldman Sachs & Co. Llc
    Washington, DC
  • 07/2015 → 12/2018
    Pricewaterhousecoopers Llp
    Washington, DC
  • 09/2020 → Present
    Ubs Financial Services Inc.
    Washington, DC
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2020-10-21
S63 Uniform Securities Agent State Law Examination 2019-02-19
  • S65 Uniform Investment Adviser Law Examination
    2020-10-21
  • S63 Uniform Securities Agent State Law Examination
    2019-02-19
Other Names
  • Louis C Mccabe

View on SEC IAPD

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BRYSPEN, INCORPORATED · WASHINGTON, DC
3WIRE INVESTMENT · WASHINGTON, DC
LPL FINANCIAL LLC · WASHINGTON, DC
ORIDIAN CAPITAL MANAGEMENT, L.P. · WASHINGTON, DC
C5 CAPITAL USA LLC · WASHINGTON, DC
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DOMINION FINANCIAL CONSULTANTS, LLC · WASHINGTON, DC
A.G.P. / ALLIANCE GLOBAL PARTNERS · Washington, DC

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