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Carlos Kaehler

Ubs Financial Services Inc.

Charlotte, NC

CRD 8077015

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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:

Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
NC RA APPROVED 2025-08-25
  • NC RA
    APPROVED
    Since 2025-08-25

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
Conocophillips Houston TX 05/2024 07/2024
Fedex Houston TX 05/2022 07/2022
St Elizabeth Ann Seton Catholic School Houston TX 08/2014 05/2017
St Thomas High School Houston TX 08/2017 05/2021
Clemson University Clemson SC 08/2021 05/2025
Ubs Financial Services, Inc Charlotte NC 07/2025 Present
  • 05/2024 → 07/2024
    Conocophillips
    Houston, TX
  • 05/2022 → 07/2022
    Fedex
    Houston, TX
  • 08/2014 → 05/2017
    St Elizabeth Ann Seton Catholic School
    Houston, TX
  • 08/2017 → 05/2021
    St Thomas High School
    Houston, TX
  • 08/2021 → 05/2025
    Clemson University
    Clemson, SC
  • 07/2025 → Present
    Ubs Financial Services, Inc
    Charlotte, NC
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2025-07-26
  • S66 Uniform Combined State Law Examination
    2025-07-26

View on SEC IAPD

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FIRST TRYON ADVISORS · CHARLOTTE, NC
MUIRFIELD WEALTH ADVISORS LLC · CHARLOTTE, NC
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