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Caroline Marshall Wyker

Ubs Financial Services Inc.

Charlotte, NC

Charlotte, NC

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
NC RA APPROVED 2021-02-26
  • NC RA
    APPROVED
    Since 2021-02-26

Branch Locations

6100 Fairview Road 9Th Floor, Charlotte, NC 28211 • United States

Charlotte, NC • 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 Charlotte NC 04/2009 10/2019
Unemployed Charlotte NC 11/2019 12/2020
Ubs Financial Services Inc. Charlotte NC 01/2021 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-05-18
S63 Uniform Securities Agent State Law Examination 2005-10-25
  • S66 Uniform Combined State Law Examination
    2007-05-18
  • S63 Uniform Securities Agent State Law Examination
    2005-10-25
Other Names
  • Baarcke
  • Caroline Baarcke
  • Caroline Marshall Baarcke
  • Caroline Baarcke Wyker
  • Caroline Wyker
  • Caroline Marshall Baarcke Wyker

View on SEC IAPD

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