Carter D Babb

Employer firm

Ubs Financial Services Inc. CRD 8174

$916B regulatory AUM 18,245 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Periodicals / newsletters

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

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 09/2019 → 07/2020
  Morgan Stanley
  Anderson, SC
• 03/2019 → 08/2019
  The Providence Group
  Charlotte, NC
• 04/2017 → 01/2019
  Campus Apartments
  Clemson, SC
• 10/2015 → 03/2017
  Tom Winkopp Realtor/Developer
  Clemson, SC
• 11/2019 → 07/2020
  Morgan Stanley Private Bank, N.A
  New York, NY
• 07/2020 → Present
  Ubs Financial Services Inc.
  Denver, CO

Previous Registrations

• 2019-11-21 → 2020-07-13
  Morgan Stanley
  Charlotte, NC
  Anderson, SC

Exams

• S66 Uniform Combined State Law Examination
  2019-11-21

Other Names

• Carter Babb