Carol D Henry

Current Employers

Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

Authority	Category	Status	Date
MN	RA	APPROVED	2014-02-04

MN RA
APPROVED

Since 2014-02-04

Branch Locations

Delano , MN • United States

681 East Lake Street Suite 354, Wayzata, MN 55391 • 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

Organization	City	State	From	To
Ubs Financial Services Inc.	Minneapolis	MN	08/2006	Present

08/2006 → Present

Ubs Financial Services Inc.

Minneapolis, MN

Other Businesses

1) R.O. Trust/ investment related?: yes/ Niceville, FL, 32578/ I have been named as Successor Trust for my brother's trust/ I have been named as successor Trustee on my brother's trust/ start date: 1/1/2023

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	1998-05-14

S63 Uniform Securities Agent State Law Examination

1998-05-14

Other Names

Carol Dee Oare
Carol Dee Henry

View on SEC IAPD

Current Employers

Ubs Financial Services Inc.

Disclosures

Employment History

Other Businesses

Exams

Other Names

Other Firms

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