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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2023-11-27
TN RA APPROVED 2022-01-26
  • TX RA
    APPROVED
    Since 2023-11-27
  • TN RA
    APPROVED
    Since 2022-01-26

Branch Locations

800 South Gay Street Suite 2600, Knoxville, TN 37929 • United States

Maryville, TN • 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
Merrill Lynch, Pierce, Fenner & Smith Incorporated Knoxville TN 01/2017 01/2022
University Of Tennessee Knoxville TN 08/2015 12/2016
Bank Of America, N.A. Knoxville TN 03/2017 01/2022
Ubs Financial Services Inc Knoxville TN 01/2022 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2017-04-19
  • S66 Uniform Combined State Law Examination
    2017-04-19
Other Names
  • Ridge Carter
  • Joshua Carter
  • Joshua Ridge Carter

View on SEC IAPD

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