Joshua Caleb Dodge

$671B regulatory AUM 5,302 advisory clients

Reported services (Item 5G)

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

One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States

Current Registrations

Authority	Category	Status	Date
NC	RA	APPROVED	2026-05-18

Branch Locations

550 S Tryon St 44Th & 45Th Fls, Charlotte, NC 28202 • United States

No disclosure categories reported as “Yes” on this SEC record.

Organization	City	State	From	To
Ubs Financial Services Inc.	Weehawken	NJ	03/2021	06/2023
Ubs	Miami	FL	06/2019	06/2020
Amc Theaters	Miami	FL	08/2016	07/2017
University Of Miami	Miami	FL	07/2017	06/2019
Unemployed	Miami	FL	06/2020	03/2021
Merrill Lynch, Pierce, Fenner & Smith Incorporated	New York	NY	06/2023	12/2024
University Of Miami	Miami	FL	08/2017	05/2020
Bank Of America, N.A.	New York	NY	07/2023	12/2024
Wells Fargo Clearing Services, Llc	Charlotte	NC	04/2026	Present
Wells Fargo Bank, Na	Charlotte	NC	04/2026	Present
Unemployed	Miami	FL	01/2025	04/2026

03/2021 → 06/2023

Ubs Financial Services Inc.

Weehawken, NJ
06/2019 → 06/2020

Ubs

Miami, FL
08/2016 → 07/2017

Amc Theaters

Miami, FL
07/2017 → 06/2019

University Of Miami

Miami, FL
06/2020 → 03/2021

Unemployed

Miami, FL
06/2023 → 12/2024

Merrill Lynch, Pierce, Fenner & Smith Incorporated

New York, NY
08/2017 → 05/2020

University Of Miami

Miami, FL
07/2023 → 12/2024

Bank Of America, N.A.

New York, NY
04/2026 → Present

Wells Fargo Clearing Services, Llc

Charlotte, NC
04/2026 → Present

Wells Fargo Bank, Na

Charlotte, NC
01/2025 → 04/2026

Unemployed

Miami, FL

2023-07-13 → 2025-01-02

Merrill Lynch, Pierce, Fenner & Smith Incorporated

New York, NY
2021-07-15 → 2023-06-27

Ubs Financial Services Inc.

Weehawken, NJ

Code	Exam	Date
S66	Uniform Combined State Law Examination	2021-07-12

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