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Kevin Emmett Herron

Ubs Financial Services Inc.

Greensboro, NC

Greensboro, NC

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
VA RA APPROVED 2024-07-29
TX RA APPROVED_RES 2023-11-13
NC RA APPROVED 2017-01-01
  • VA RA
    APPROVED
    Since 2024-07-29
  • TX RA
    APPROVED_RES
    Since 2023-11-13
  • NC RA
    APPROVED
    Since 2017-01-01

Branch Locations

717 Green Valley Road Suite 250, Greensboro, NC 27408 • United States

Greensboro, 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 Greensboro NC 11/2016 Present
  • 11/2016 → Present
    Ubs Financial
    Greensboro, NC
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2016-12-29
S63 Uniform Securities Agent State Law Examination 2015-07-16
  • S66 Uniform Combined State Law Examination
    2016-12-29
  • S63 Uniform Securities Agent State Law Examination
    2015-07-16
Other Names
  • Kevin Emmett Herron

View on SEC IAPD

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AMERIPRISE FINANCIAL SERVICES, LLC · GREENSBORO, NC
BANKERS LIFE ADVISORY SERVICES, INC. · GREENSBORO, NC
CETERA INVESTMENT ADVISERS LLC · GREENSBORO, NC
CETERA INVESTMENT ADVISERS LLC · GREENSBORO, NC
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC · GREENSBORO, NC
CETERA INVESTMENT ADVISERS LLC · GREENSBORO, NC
BY DESIGN FINANCIAL PLANNING · GREENSBORO, NC
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