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Luke Michael Stapleton

Ubs Financial Services Inc.

Charlotte, NC

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
NC RA APPROVED 2022-05-26
NJ RA APPROVED 2022-05-05
  • NC RA
    APPROVED
    Since 2022-05-26
  • NJ RA
    APPROVED
    Since 2022-05-05

Branch Locations

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
Ubs Charlotte NC 12/2021 Present
Shanty Creek Resorts Bellaire MI 05/2021 10/2021
Hobart And William Smith Colleges Geneva NY 08/2020 05/2021
Hobart And William Smith Colleges Geneva NY 08/2020 05/2021
Shanty Creek Resorts Bellaire MI 05/2020 08/2020
Hobart And William Smith Colleges Geneva NY 08/2019 05/2020
Shanty Creek Resorts Bellaire MI 05/2019 08/2019
Hobart And William Smith Colleges Geneva NY 08/2018 05/2019
Shanty Creek Resorts Bellaire MI 05/2018 08/2018
Hobart And William Smith Colleges Geneva NY 08/2017 05/2018
Shanty Creek Resorts Bellaire MI 06/2017 08/2017
Culver Academies Culver IN 08/2016 06/2017
  • 12/2021 → Present
    Ubs
    Charlotte, NC
  • 05/2021 → 10/2021
    Shanty Creek Resorts
    Bellaire, MI
  • 08/2020 → 05/2021
    Hobart And William Smith Colleges
    Geneva, NY
  • 08/2020 → 05/2021
    Hobart And William Smith Colleges
    Geneva, NY
  • 05/2020 → 08/2020
    Shanty Creek Resorts
    Bellaire, MI
  • 08/2019 → 05/2020
    Hobart And William Smith Colleges
    Geneva, NY
  • 05/2019 → 08/2019
    Shanty Creek Resorts
    Bellaire, MI
  • 08/2018 → 05/2019
    Hobart And William Smith Colleges
    Geneva, NY
  • 05/2018 → 08/2018
    Shanty Creek Resorts
    Bellaire, MI
  • 08/2017 → 05/2018
    Hobart And William Smith Colleges
    Geneva, NY
  • 06/2017 → 08/2017
    Shanty Creek Resorts
    Bellaire, MI
  • 08/2016 → 06/2017
    Culver Academies
    Culver, IN
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2022-05-04
  • S66 Uniform Combined State Law Examination
    2022-05-04

View on SEC IAPD

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Other Offices

FIRST TRYON ADVISORS · CHARLOTTE, NC
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ARKADIOS WEALTH ADVISORS · Charlotte, NC
MODERA WEALTH MANAGEMENT, LLC · CHARLOTTE, NC
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