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William Lloyd Dornik

Ubs Financial Services Inc.

Charlotte, NC

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
NJ RA APPROVED 2026-08-12
NC RA APPROVED 2025-01-23
  • NJ RA
    APPROVED
    Since 2026-08-12
  • NC RA
    APPROVED
    Since 2025-01-23

Branch Locations

11325 North Community House Road Suite 600, Charlotte, NC 28277 • 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
Pruco Securities Llc Charlotte SC 04/2024 11/2024
N/A Columbia SC 08/2023 04/2024
Capitol Financial Solutions Charlotte NC 05/2023 08/2023
N/A Columbia SC 12/2022 05/2023
The Boathouse Restaurant Richmond VA 11/2022 12/2022
N/A Columbia SC 08/2022 11/2022
The Boathouse Restaurant Richmond VA 05/2022 08/2022
N/A Columbia SC 08/2021 05/2022
Euroclassics Porsche Dealership Richmond VA 05/2021 08/2021
N/A Columbia SC 08/2020 05/2021
N/A Richmond VA 03/2020 08/2020
Kuba Kuba Dos Restaurant Richmond VA 07/2019 03/2020
Janney Montgomery Scott Llc Richmond VA 06/2019 07/2019
Kuba Kuba Dos Restaurant Richmond VA 12/2017 06/2019
N/A Richmond VA 05/2014 12/2017
The Prudential Insurance Company Of America Charlotte SC 07/2024 12/2024
Lpl Enterprise, Llc Mt. Pleasant SC 11/2024 12/2024
Ubs Financial Services Inc. Charlotte NC 01/2025 Present
  • 04/2024 → 11/2024
    Pruco Securities Llc
    Charlotte, SC
  • 08/2023 → 04/2024
    N/A
    Columbia, SC
  • 05/2023 → 08/2023
    Capitol Financial Solutions
    Charlotte, NC
  • 12/2022 → 05/2023
    N/A
    Columbia, SC
  • 11/2022 → 12/2022
    The Boathouse Restaurant
    Richmond, VA
  • 08/2022 → 11/2022
    N/A
    Columbia, SC
  • 05/2022 → 08/2022
    The Boathouse Restaurant
    Richmond, VA
  • 08/2021 → 05/2022
    N/A
    Columbia, SC
  • 05/2021 → 08/2021
    Euroclassics Porsche Dealership
    Richmond, VA
  • 08/2020 → 05/2021
    N/A
    Columbia, SC
  • 03/2020 → 08/2020
    N/A
    Richmond, VA
  • 07/2019 → 03/2020
    Kuba Kuba Dos Restaurant
    Richmond, VA
  • 06/2019 → 07/2019
    Janney Montgomery Scott Llc
    Richmond, VA
  • 12/2017 → 06/2019
    Kuba Kuba Dos Restaurant
    Richmond, VA
  • 05/2014 → 12/2017
    N/A
    Richmond, VA
  • 07/2024 → 12/2024
    The Prudential Insurance Company Of America
    Charlotte, SC
  • 11/2024 → 12/2024
    Lpl Enterprise, Llc
    Mt. Pleasant, SC
  • 01/2025 → Present
    Ubs Financial Services Inc.
    Charlotte, NC
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2024-06-21
  • S66 Uniform Combined State Law Examination
    2024-06-21
Other Names
  • William Lloyd Dornik

View on SEC IAPD

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