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Jon Preston Gandy

Ubs Financial Services Inc.

Weehawken, NJ

Charlotte, NC

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2025-09-15
NJ RA APPROVED 2024-08-05
NC RA APPROVED 2024-08-02
  • TX RA
    APPROVED
    Since 2025-09-15
  • NJ RA
    APPROVED
    Since 2024-08-05
  • NC RA
    APPROVED
    Since 2024-08-02

Branch Locations

1000 & 1200 Harbor Blvd., Weehawken, NJ 07086 • United States

11325 North Community House Road Suite 600, Charlotte, NC 28277 • 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
Wells Fargo Advisors Charlotte NC 12/2005 04/2024
Ubs Financial Services, Inc Charlotte NC 04/2024 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2024-08-02
S63 Uniform Securities Agent State Law Examination 2013-03-07
  • S66 Uniform Combined State Law Examination
    2024-08-02
  • S63 Uniform Securities Agent State Law Examination
    2013-03-07
Other Names
  • Jon Preston Gandy
  • Jon Gandy

View on SEC IAPD

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Other Offices

ALPHA FINANCIAL ADVISORS, LLC · CHARLOTTE, NC
EQUITABLE ADVISORS, LLC · CHARLOTTE, NC
TD PRIVATE CLIENT WEALTH LLC · Charlotte, NC
INDEPENDENT ADVISOR ALLIANCE, LLC · Charlotte, NC
CREATIVE PLANNING · Charlotte, NC
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. · Charlotte, NC
BRIGHTHOUSE INVESTMENT ADVISERS, LLC · CHARLOTTE, NC
CITIGROUP GLOBAL MARKETS INC. · Charlotte, NC

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