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Timothy L. Rauwald

Ubs Financial Services Inc.

Chapel Hill, NC

Morehead City, NC

Durham, NC

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
SC RA APPROVED 2025-02-24
WI RA APPROVED 2025-02-17
IL RA APPROVED 2024-10-16
VA RA APPROVED 2023-09-06
TX RA APPROVED_RES 2009-03-05
NC RA APPROVED 2009-02-13
  • SC RA
    APPROVED
    Since 2025-02-24
  • WI RA
    APPROVED
    Since 2025-02-17
  • IL RA
    APPROVED
    Since 2024-10-16
  • VA RA
    APPROVED
    Since 2023-09-06
  • TX RA
    APPROVED_RES
    Since 2009-03-05
  • NC RA
    APPROVED
    Since 2009-02-13

Branch Locations

317 W. Barbee Chapel Road, Chapel Hill, NC 27517 • United States

Morehead City, NC • United States

Durham, NC • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Ubs Financial Services Inc Durham NC 01/2009 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1992-06-18
S63 Uniform Securities Agent State Law Examination 1992-01-02
  • S65 Uniform Investment Adviser Law Examination
    1992-06-18
  • S63 Uniform Securities Agent State Law Examination
    1992-01-02
Other Names
  • Timothy Lee Rauwald

View on SEC IAPD

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FRANKLIN STREET ADVISORS INC. · CHAPEL HILL, NC
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TRUIST ADVISORY SERVICES, INC. · CHAPEL HILL, NC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · CHAPEL HILL, NC
STIFEL, NICOLAUS & COMPANY, INCORPORATED · CHAPEL HILL, NC
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