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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
SC RA APPROVED 2020-10-27
  • SC RA
    APPROVED
    Since 2020-10-27

Branch Locations

17 West Mcbee Ave Poinsett Plaza, Greenville, SC 29601 • United States

Simpsonville, SC • 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
Pershing Llc Lake Mary FL 12/2013 12/2019
Ubs Financial Services Inc Greenville SC 01/2020 Present
Other Businesses

1. Fountain Inn High School Band of Fury Booster Club, Fountain InnSouth CarolinaUnited States-29644, Educational Establishment, The FIHS Band of Fury Booster Club was established to raise funds to support the after school program, Member of Board of directors, There are 3 positions opened on the board right now to support this Booster Club. They are Treasurer, Volunteer Coordinator and Fundraising Coordinator. I am looking to help with the treasurer role which will help balance their budget and ensure they are staying within the allotted budget for the year, START DATE-7/1/2025.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2020-10-20
  • S66 Uniform Combined State Law Examination
    2020-10-20
Other Names
  • Tracy Lynn Walters
  • Tracy Lynn Caldwell

View on SEC IAPD

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