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Samuel Steed Carson

Ubs Financial Services Inc.

Memphis, TN

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
TN RA APPROVED 2009-07-09
TX RA APPROVED 2009-06-19
  • TN RA
    APPROVED
    Since 2009-07-09
  • TX RA
    APPROVED
    Since 2009-06-19

Branch Locations

6070 Poplar Avenue Suite 400, Memphis, TN 38119 • 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 Ing Memphis TN 06/2009 Present
  • 06/2009 → Present
    Ubs Financial Services Ing
    Memphis, TN
Previous Registrations
Other Businesses

1)WTWT, LLC / PANAMA CITY, FL 32408 / OTHER / REAL ESTATE/ FORMED TO PURCHASE A CONDO / PARTNER / MEMBER OF LLC / START DATE 06/12/2006.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1994-03-15
S63 Uniform Securities Agent State Law Examination 1991-12-03
  • S65 Uniform Investment Adviser Law Examination
    1994-03-15
  • S63 Uniform Securities Agent State Law Examination
    1991-12-03
Other Names
  • Sam S Carson
  • Sam Carson

View on SEC IAPD

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Other Offices

RAYMOND JAMES & ASSOCIATES, INC. · MEMPHIS, TN
RAYMOND JAMES & ASSOCIATES, INC. · MEMPHIS, TN
NEWSOUTH CAPITAL MANAGEMENT INC · MEMPHIS, TN
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · Memphis, TN
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · Memphis, TN
PRIVATE ADVISOR GROUP, LLC · Memphis, TN
LPL FINANCIAL LLC · MEMPHIS, TN
B. RILEY WEALTH ADVISORS, INC. · Memphis, TN

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