Linda Lee Abbott

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

Authority	Category	Status	Date
NC	RA	APPROVED	2024-08-14

NC RA
APPROVED

Since 2024-08-14

Branch Locations

Matthews, NC • United States

13024 Ballantyne Corporate Plaza Suite 650, Charlotte, NC 28277 • 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 Yes
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
The Vanguard Group, Inc	Scottsdale	AZ	02/2016	08/2018
Stifel Nicolaus & Co Inc	Charlotte	NC	08/2018	01/2023
Raymond James & Associates	Charlotte	NC	01/2023	08/2024
Ubs	Charlotte	NC	08/2024	Present

02/2016 → 08/2018

The Vanguard Group, Inc

Scottsdale, AZ
08/2018 → 01/2023

Stifel Nicolaus & Co Inc

Charlotte, NC
01/2023 → 08/2024

Raymond James & Associates

Charlotte, NC
08/2024 → Present

Ubs

Charlotte, NC

Previous Registrations

2023-01-19 → 2024-08-12

Raymond James & Associates, Inc.

Charlotte, NC
2022-10-13 → 2022-12-22

Stifel, Nicolaus & Company, Incorporated

Charlotte, NC

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2022-10-12
S63	Uniform Securities Agent State Law Examination	2016-03-29

S66 Uniform Combined State Law Examination

2022-10-12
S63 Uniform Securities Agent State Law Examination

2016-03-29

Other Names

Linda Lee Abbott
Linda Lee Abbott
Linda Abbott
Linda Lee Morris
Linda L Abbott

View on SEC IAPD