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Douglas Layne Carroll

Ubs Financial Services Inc.

Austin, TX

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2006-01-01
  • TX RA
    APPROVED
    Since 2006-01-01

Branch Locations

401 W 4Th Street Suite 3100, Austin, TX 78701 • 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
Ubs Financial Services Inc Austin TX 09/2005 Present
Other Businesses

CERTIFIED FINANCIAL PLANNER BOARD OF STANDARDS, INC. / 1425 K STREET NW, SUITE 500 WASHINGTON DC 20005 / COMPANY / FINANCIAL (CONSUMER & INVESTMENT SERVICES) / FINANCIAL PLANNING STANDARDS / MEMBER OF A COMMITTEE WITH MANAGEMENT OR SUPERVISORY FUNCTIONS / DEVELOPING TEST QUESTIONS FOR BOARD EXAM / START DATE 7/15/2014

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2005-12-28
  • S66 Uniform Combined State Law Examination
    2005-12-28
Other Names
  • Douglas L Carroll

View on SEC IAPD

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