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Carol Ann Wake

Ubs Financial Services Inc.

Birmingham, MI

White Lake, MI

CRD 2283803

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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
MI RA APPROVED 2018-12-21
  • MI RA
    APPROVED
    Since 2018-12-21

Branch Locations

325 North Old Woodward Ave Suite 200, Birmingham, MI 48009 • United States

White Lake, MI • 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
Ameriprise Financial Services, Inc. Clearwater FL 05/2016 11/2018
Ubs Financial Services Inc Troy MI 12/2018 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2013-10-23
S63 Uniform Securities Agent State Law Examination 1995-06-29
  • S65 Uniform Investment Adviser Law Examination
    2013-10-23
  • S63 Uniform Securities Agent State Law Examination
    1995-06-29
Other Names
  • Carol Ann Hasselwander
  • Carol Wake
  • Carol Ann Wake
  • Carol Robinson
  • Carol Ann Robinson
  • Carol Hasselwander

View on SEC IAPD

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