Best Investors Account Sign in

Charles Alan Espey

Ubs Financial Services Inc.

Plano, TX

Weehawken, NJ

Claim This Profile
Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2018-04-10
  • TX RA
    APPROVED
    Since 2018-04-10

Branch Locations

7250 Dallas Parkway Suite 250, Plano, TX 75024 • United States

1200 Harbor Boulevard, Weehawken, NJ 07086 • 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. Plano TX 10/2017 Present
Capital One Plano TX 04/2017 10/2017
Goldman Sachs Irving TX 06/2013 04/2017
  • 10/2017 → Present
    Ubs Financial Services Inc.
    Plano, TX
  • 04/2017 → 10/2017
    Capital One
    Plano, TX
  • 06/2013 → 04/2017
    Goldman Sachs
    Irving, TX
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2018-04-09
  • S66 Uniform Combined State Law Examination
    2018-04-09
Other Names
  • Charles A Espey
  • Charlie A Espey

View on SEC IAPD

Other Firms

VANGUARD ADVISERS, INC.
TTFCM LLC
BBAE ADVISORS LLC
PARADIGM GROUP
CAISHEN FINANCIAL
EVERGREEN WEALTH ADVISORS
EDWARD JONES
KICKING HORSE INVESTMENT MANAGEMENT, LLC

Other Investors

John Wayne Purvis
Guy Rene Mondjii
GREGORY THOMAS HANSEN
CLAYBORN PAUL MCCLINTON
BRIAN Michael STRANGE
Seth Gregory Downing
GEORGE ALBERT CENTENO
ERIC RAY FRANCIS

Other Offices

VANGUARD ADVISERS, INC. · PLANO, TX
VANGUARD ADVISERS, INC. · PLANO, TX
VANGUARD ADVISERS, INC. · Plano, TX
VANGUARD ADVISERS, INC. · Plano, TX
VANGUARD ADVISERS, INC. · Plano, TX
TTFCM LLC · PLANO, TX
BBAE ADVISORS LLC · PLANO, TX
PARADIGM GROUP · PLANO, TX

More in Plano, TX

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor