Gregory Thomas Pleasants

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:

Current Employers

Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

Authority	Category	Status	Date
VA	RA	APPROVED	2025-01-22
TX	RA	APPROVED_RES	2005-03-23
NC	RA	APPROVED	2002-11-15

VA RA
APPROVED

Since 2025-01-22
TX RA
APPROVED_RES

Since 2005-03-23
NC RA
APPROVED

Since 2002-11-15

Branch Locations

Landfall Park North 1985 Eastwood Road Suite 110, Wilmington, NC 28403 • United States

1985 Eastwood Road, Wilmington, NC 28403 • 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.	Wilmington	NC	11/2002	Present

11/2002 → Present

Ubs Financial Services Inc.

Wilmington, NC

Previous Registrations

2002-09-18 → 2002-11-14

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Wilmington, NC

Other Businesses

1) Rental Property at 323 N Cardinal Dr/ Investment related?:yes/323 N Cardinal Dr, North Carolina, 28405 US/This is a rental property from which I gain rental income./Proprietor / owner/General landlord duties including upkeep/maintenance./start date:8/1/2006/time reqd during trading hours?: yes 2) Cabin 7621 Mason Landing Road 2-8-24, Proprietor / owner, start date-1/22/2024.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2002-09-16
S63	Uniform Securities Agent State Law Examination	1989-11-08

S65 Uniform Investment Adviser Law Examination

2002-09-16
S63 Uniform Securities Agent State Law Examination

1989-11-08

View on SEC IAPD