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Donald Raymond Monroe

Ubs Financial Services Inc.

Raleigh, NC

Raleigh, NC

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2012-09-05
NC RA APPROVED 2009-01-30
  • TX RA
    APPROVED_RES
    Since 2012-09-05
  • NC RA
    APPROVED
    Since 2009-01-30

Branch Locations

3700 Glenwood Avenue Suite 300, Raleigh, NC 27612 • United States

Raleigh, NC • 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 Inc Raleigh NC 01/2009 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1991-07-09
S63 Uniform Securities Agent State Law Examination 1984-05-04
  • S65 Uniform Investment Adviser Law Examination
    1991-07-09
  • S63 Uniform Securities Agent State Law Examination
    1984-05-04

View on SEC IAPD

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