Erik Matthew Carleton

Employer firm

Ubs Financial Services Inc. CRD 8174

$916B regulatory AUM 18,245 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Periodicals / newsletters

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 08/2014 → 06/2022
  Textron
  Providence, RI
• 07/2022 → Present
  Ubs Financial Services Inc
  Boston, MA

Other Businesses

1) NAME OF OTHER BUSINESS:Bentley University / INVESTMENT RELATED?: YES / ADDRESS: 175 Forest St. Waltham, MA 02452 / NATURE OF THE BUSINESS: Education / POSITION:Non-Director member of Endowment Investment Committee / DUTIES:Review investment decisions and strategy for Endowment investment committee, in conjunction with external Investment Consulting recommendations / START DATE: 6/1/2016 / HOURS DEVOTED TO BUSINESS: As Needed 2) NAME OF OTHER BUSINESS: Michael J. Sheehan and Maureen L. Sheehan Irrevocable Trust / INVESTMENT RELATED?: yes / ADDRESS: 38 Resnik Rd, Plymouth, MA / NATURE OF THE BUSINESS: Family Trust / POSITION: Trustee / DUTIES: NA / START DATE: 8-20-2019 / HOURS DEVOTED TO BUSINESS: dormant 3) Name of Business; Rhode Island PBS Foundation./ Address; 50 Park Lane Providence RI United States./ Investment Related: No./ Nature: The Rhode Island PBS Foundation is a not-for-profit organization founded in 1987 to raise funds and provide support services to Rhode Island PBS. The Rhode Island PBS Foundation provides approximately 58% of the operating budget of Rhode Island PBS. Funds are raised through Rhode Island PBS viewer support, corporate sponsorship, auctions and special events./ Role: Member of Board of directors./ Duty: General governance role; I serve on the Finance and Investment committee, overseeing budget and Outsourced CIO decisions./ Start Date: 8/1/2021./ Time Required: Yes. 4)Meeting Street , RI United States , Educational Establishment ,Education , School supporting education and special needs students, Member of Board of directors , I'd like to join as a volunteer member for the Investment Committee with non-discretionary oversight of the school's retirement plans (small endowment, totaling roughly $25m), Start date 10/1/2026

Exams

• S63 Uniform Securities Agent State Law Examination
  2022-08-22

Designations

• Chartered Financial Analyst