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Caroline Pratt

Ubs Financial Services Inc.

Miamisburg, OH

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
OH RA APPROVED 2023-10-02
  • OH RA
    APPROVED
    Since 2023-10-02

Branch Locations

3601 Rigby Road Suite 500, Miamisburg, OH 45342 • 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
University Of Alabama Tuscaloosa AL 08/2017 05/2021
Ubs Financial Services Miamisburg OH 05/2021 Present
Ubs Financial Services Miamisburg OH 06/2019 08/2019
Ubs Financial Services Memphis TN 06/2020 08/2020
Troy High School Troy OH 08/2013 05/2017
  • 08/2017 → 05/2021
    University Of Alabama
    Tuscaloosa, AL
  • 05/2021 → Present
    Ubs Financial Services
    Miamisburg, OH
  • 06/2019 → 08/2019
    Ubs Financial Services
    Miamisburg, OH
  • 06/2020 → 08/2020
    Ubs Financial Services
    Memphis, TN
  • 08/2013 → 05/2017
    Troy High School
    Troy, OH
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2023-09-30
  • S66 Uniform Combined State Law Examination
    2023-09-30

View on SEC IAPD

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