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Serafim Konstantinos Pistiolis

Ubs Financial Services Inc.

Charlotte, NC

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
SC RA APPROVED 2024-08-01
TX RA APPROVED_RES 2022-01-10
NC RA APPROVED 2018-10-18
  • SC RA
    APPROVED
    Since 2024-08-01
  • TX RA
    APPROVED_RES
    Since 2022-01-10
  • NC RA
    APPROVED
    Since 2018-10-18

Branch Locations

6100 Fairview Road 9Th Floor, Charlotte, NC 28211 • 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
Sun And Ski Concord NC 08/2016 12/2016
Ubs- Stanford Wealth Managment Charlotte NC 05/2017 01/2018
Ubs Financial Services Inc. Charlotte NC 02/2018 Present
The University Of North Carolina At Charlotte Charlotte NC 08/2013 12/2017
  • 08/2016 → 12/2016
    Sun And Ski
    Concord, NC
  • 05/2017 → 01/2018
    Ubs- Stanford Wealth Managment
    Charlotte, NC
  • 02/2018 → Present
    Ubs Financial Services Inc.
    Charlotte, NC
  • 08/2013 → 12/2017
    The University Of North Carolina At Charlotte
    Charlotte, NC
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2018-10-18
  • S66 Uniform Combined State Law Examination
    2018-10-18
Other Names
  • Serafim Konstantinos Pistiiolis

View on SEC IAPD

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