Best Investors
Account
Sign in
Best Investors
Account
Sign in
CRD 2400452
Ubs Financial Services Inc. CRD 8174
$916B regulatory AUM 18,245 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
1200 Harbor Boulevard, Weehawken, NJ 07086 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2023-01-09 |
| NC | RA | APPROVED | 2002-08-05 |
Branch Locations
6100 Fairview Road 9Th Floor, Charlotte, NC 28277 • United States
6100 Fairview Road 9Th Floor, Charlotte, NC 28211 • United States
13024 Ballantyne Corporate Plaza Suite 650, Charlotte, NC 28277 • United States
717 Green Valley Road Suite 250, Greensboro, NC 27408 • United States
941 Houston Northcutt Blvd Suite 100, Mt. Pleasant, SC 29464 • United States
380 Knollwood Street, Winston-Salem, NC 27103 • United States
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc. | Charlotte | NC | 07/2002 | Present |
CAROLINA FIREARM CONSULTING, LLC / FIREARMS TRAINING / 1004 MAPESBURY LANE WAXHAW, NC 28173 / OWNER / START DATE 07/19/2012 / 10 HRS.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2002-08-02 |
| S65 | Uniform Investment Adviser Law Examination | 2000-03-29 |
| S63 | Uniform Securities Agent State Law Examination | 1993-10-22 |
Reach out to this advisor