Charles Harold Cooper

Current Employers

Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

Authority	Category	Status	Date
FL	RA	APPROVED	2016-06-03
TX	RA	APPROVED_RES	2016-05-03
MD	RA	APPROVED	2016-04-08

FL RA
APPROVED

Since 2016-06-03
TX RA
APPROVED_RES

Since 2016-05-03
MD RA
APPROVED

Since 2016-04-08

Branch Locations

Palm Beach Gardens, FL • United States

7272 Wisconsin Avenue 23Rd Floor, Bethesda, MD 20814 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Ubs Financial Services Inc.	Bethesda	MD	04/2016	Present

04/2016 → Present

Ubs Financial Services Inc.

Bethesda, MD

Previous Registrations

2009-06-01 → 2016-04-21

Morgan Stanley

Bethesda, MD

Palm Beach Gardens, FL

Palm Beach Gardens, FL
1994-01-01 → 2009-06-01

Citigroup Global Markets Inc.

Palm Beach Gardens, FL

Bethesda, MD

Bethesda, MD

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1991-12-26
S63	Uniform Securities Agent State Law Examination	1981-07-22

S65 Uniform Investment Adviser Law Examination

1991-12-26
S63 Uniform Securities Agent State Law Examination

1981-07-22