David H Carlson

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

• 01/1995 → Present
  Ubs Financial Services Inc.
  Boston, MA

Other Businesses

1) ROCKPORT PARTNERS (ADVISORY COUNCIL), BOSTON, MA. YES - INVESTMENT RELATED. BUSINESS - VENTURE CAPITAL FIRM. TITLE - ADVISORY COUNCIL./START DATE - 04/18/2000. 1 HOURS/MONTHS. DUTIES - ATTEND AN ANNUAL MEETING OF THE PARTNERSHIP, AND OFFER GUIDANCE ON HOW THE BUSINESS IS MANAGED. 2)NAME OF OTHER BUSINESS: C. Richard Carlson Insurance Trust / INVESTMENT RELATED?: Yes / ADDRESS: 6 Dodges Row, Wenham, MA / NATURE OF THE BUSINESS: Trust holds life insurance for my father C. Richard Carlson / POSITION: Distribution of assets / DUTIES: Trustee / START DATE: 9-30-2022 / HOURS DEVOTED TO BUSINESS: NA 3) Amelia Peabody Foundation, The Amelia Peabody Foundation provides support to nonprofit organizations in Massachusetts that enhance the vitality of the community and strengthen the lives of children and families, The Foundation has a special concern for funding programs operating across the Commonwealth of Massachusetts, primarily outside Greater Boston, through operating, program, and capital grants. The Foundation seeks to build relationships with nonprofit organizations and other community leaders and provide flexible funding with a bias toward capacity building, TopsfieldMassachusetts United States-01983, Approve grant proposals, visit non-profit grant recipients, oversee the four fulltime employees that run the foundation, Start date-9/1/2024. 4) Carlson Family Trust, Private family foundation, Rockport MA United States-01966, Manage assets and make annual donations to charity, start date-4/6/2021

Exams

• S66 Uniform Combined State Law Examination
  2012-10-04
• S63 Uniform Securities Agent State Law Examination
  1992-06-09

Other Names

• Charles David Carlson
• C David Carlson