Warren Douglas Mcpeters

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

• 04/2009 → 06/2022
  Rbc Capital Markets
  Quarry Lake, MD
• 06/2017 → 06/2022
  City National Bank
  Baltimore, MD
• 06/2022 → 09/2024
  Nbc Securities, Inc.
  Birmingham, AL
• 09/2024 → Present
  Ubs Financial Services Inc.
  Hunt Valley, MD

Previous Registrations

• 2022-06-30 → 2024-09-16
  Lanark Financial, Inc.
  Birmingham, AL
  Key West, FL
• 2009-04-28 → 2022-07-20
  Rbc Capital Markets, Llc
  Baltimore, MD
  Baltimore, MD
  Key West, FL
• 2006-02-21 → 2009-05-15
  Citigroup Global Markets Inc.
  Baltimore, MD
  New York, NY
  Baltimore, MD
• 1991-03-13 → 2006-02-21
  Legg Mason Wood Walker, Incorporated
  Baltimore, MD

Exams

• S66 Uniform Combined State Law Examination
  2009-10-20
• S63 Uniform Securities Agent State Law Examination
  1983-11-04

Other Names

• Warren Douglas Mcpeters
• Warren Mcpeters