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Corinne Carroll

Ubs Financial Services Inc.

Los Angeles, CA

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2020-06-04
  • CA RA
    APPROVED
    Since 2020-06-04

Branch Locations

2000 Avenue Of The Stars 12Th Floor South, Los Angeles, CA 90067 • 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 Los Angeles CA 09/2008 02/2017
First Republic Investment Management, Inc. Los Angeles CA 02/2017 05/2020
Ubs Financial Services Inc. Los Angeles CA 05/2020 Present
Previous Registrations
  • 2017-02-10 → 2019-07-17
    J.P. Morgan Private Wealth Advisors Llc
    Los Angeles, CA
    San Francisco, CA
  • 2008-09-25 → 2017-02-21
    Ubs Financial Services Inc.
    Los Angeles, CA
  • 2008-03-31 → 2008-10-07
    Lehman Brothers Inc.
    Los Angeles, CA
    New York, NY
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2008-03-28
S63 Uniform Securities Agent State Law Examination 2006-06-23
  • S66 Uniform Combined State Law Examination
    2008-03-28
  • S63 Uniform Securities Agent State Law Examination
    2006-06-23
Other Names
  • Corinne Caggiano

View on SEC IAPD

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