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Caroline Marie Chahalis

Ubs Financial Services Inc.

Greenville, DE

Ocean City, MD

Naples, FL

Bear, DE

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2021-07-29
MD RA APPROVED 2021-07-28
DE RA APPROVED 2013-08-20
TX RA APPROVED 2013-08-20
  • FL RA
    APPROVED
    Since 2021-07-29
  • MD RA
    APPROVED
    Since 2021-07-28
  • DE RA
    APPROVED
    Since 2013-08-20
  • TX RA
    APPROVED
    Since 2013-08-20

Branch Locations

20 Montchanin Road Suite 170, Greenville, DE 19807 • United States

Ocean City, MD • United States

Naples, FL • United States

Bear, DE • 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
Ubs Financial Services Inc. Wilmington DE 08/2013 Present
Previous Registrations
  • 2009-06-01 → 2013-09-04
    Morgan Stanley
    Greenville, DE
  • 2007-04-02 → 2009-06-01
    Morgan Stanley & Co. Llc
    Wilmington, DE
  • 2003-08-08 → 2007-04-02
    Morgan Stanley Dw Inc.
    Wilmington, DE
    Newark, DE
    Newark, DE
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2007-12-13
S63 Uniform Securities Agent State Law Examination 1992-06-03
  • S65 Uniform Investment Adviser Law Examination
    2007-12-13
  • S63 Uniform Securities Agent State Law Examination
    1992-06-03
Designations
Other Names
  • Caroline Marie Chahalis
  • Caroline Marie Garyantes

View on SEC IAPD

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Patrick Edward Walsh
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Kevin Osmar Noguez Ochoa
Aaron Christopher Leonard
MICHAEL THOMAS FARQUHARSON
JEANNE ELIZABETH GRIFFITH

Other Offices

SPEARHEAD ADMINISTRATIVE SERVICES, LLC · GREENVILLE, DE
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · WILMINGTON, DE
EDWARD JONES · Greenville, DE
LPL FINANCIAL LLC · WILMINGTON, DE
WELLS FARGO CLEARING SERVICES, LLC · GREENVILLE, DE
MARVIN & PALMER ASSOCIATES · WILMINGTON, DE
COMMONWEALTH FINANCIAL NETWORK · Wilmington, DE
&PARTNERS · Wilmington, DE

More in Greenville, DE

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