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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 2010-08-02
NC RA APPROVED 2009-03-16
  • TX RA
    APPROVED_RES
    Since 2010-08-02
  • NC RA
    APPROVED
    Since 2009-03-16

Branch Locations

3700 Glenwood Avenue Suite 300, Raleigh, NC 27612 • 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 03/2009 Present
Previous Registrations
  • 2003-01-02 → 2009-03-18
    Banc Of America Investment Services, Inc.
    Raleigh, NC
    Raleigh, NC
    Raleigh, NC
Other Businesses

1)BELL FUND II-ELWYNN INVESTMENTS,LLC;3400 CHURCHILL RD,RALEIGH,NC 27607;S/D:05/15/06;REAL ESTATE-PASSIVE INVESTOR;APTS,RETAIL/SR.HOUSING;CHAIRMAN & CEO;0 HRS/MTH.2)BELL FUND I;300 N.GREENE ST,STE 1000,GREENSBORO,NC 27401;LLC W/FAMILY;MANAGER;S/D:08/05/07;2 HRS/MTH;REAL ESTATE PURCHASES,CHECKING ACCOUNT.3)COMMUNITIES SCHOOLS OF WAKE CTY;NFP;871 HARP ST,RALEIGH,NC 27604;TUTORING/MENTORING TRUSTEE;S/D:02/01/04;4 HRS/MTH;1.5-TRADING HRS;BOD MEMBER.4)EASTERN N.C.CH. OF THE NATIONAL MULTIPLE SCLEROSIS;NFP;3101 INDUSTRIAL DR,STE 101,RALEIGH,NC 27609;END EFFECTS OF M.S.,RAISE FUNDS FOR RESEARCH & SERVICES;TRUSTEE;S/D:05/01/00;5 HRS/MTH;MEMBER OF BOARD OF TRUSTEES.5)RALEIGH AREA DEVELOPMENT AUTHORITY;NFP;127 W.HARGETT ST,STE 302,RALEIGH,NC 27601;PROMOTE ECONOMIC DEVELEOPMENT,CREATING HIGHER QUALITY OF LIFE & GROWTH OF BUSINESS COMMUNITY;DIRECTOR;S/D:08/01/07;4 HRS/MTH;1-TRADING HRS;BOD MEMBER.(6)RESEARCH TRI-1000 TRADE DRIVE - DIRECTOR - 12/31/08

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2002-12-30
S63 Uniform Securities Agent State Law Examination 1998-09-03
  • S66 Uniform Combined State Law Examination
    2002-12-30
  • S63 Uniform Securities Agent State Law Examination
    1998-09-03

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