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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
NC RA APPROVED 2024-11-05
  • NC RA
    APPROVED
    Since 2024-11-05

Branch Locations

138 Charlotte Street, Asheville, NC 28801 • United States

1200 Harbor Boulevard, Weehawken, NJ 07086 • UNITED STATES

Asheville, 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
Wells Fargo Clearing Services Charlotte NC 02/2017 05/2023
Hound Ears Club Boone NC 05/2015 01/2017
Robert Half Charlotte NC 02/2017 05/2017
Ubs Financial Services, Inc Nashville TN 05/2023 Present
  • 02/2017 → 05/2023
    Wells Fargo Clearing Services
    Charlotte, NC
  • 05/2015 → 01/2017
    Hound Ears Club
    Boone, NC
  • 02/2017 → 05/2017
    Robert Half
    Charlotte, NC
  • 05/2023 → Present
    Nashville, TN
Previous Registrations
Other Businesses

Lumina Development is the company the casting director represents, but the Crystal Coast Tourism Authority appears to be the sponsoring beneficiary of the shoot, Tourism activities3409, NC United States28557, They will take pictures of me, Start date -6/28/2025

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2020-03-09
S63 Uniform Securities Agent State Law Examination 2017-04-13
  • S66 Uniform Combined State Law Examination
    2020-03-09
  • S63 Uniform Securities Agent State Law Examination
    2017-04-13

View on SEC IAPD

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