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Brendan Thomas Farrell

Ubs Financial Services Inc.

Raleigh, NC

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2023-11-06
NC RA APPROVED 2019-09-27
  • TX RA
    APPROVED
    Since 2023-11-06
  • NC RA
    APPROVED
    Since 2019-09-27

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
Macgregor Downs Country Club Cary NC 06/2013 06/2017
Avalara Durham NC 05/2017 06/2019
Capitol Financial Solutions Raleigh NC 05/2018 09/2018
Education/Undergrad Greenville NC 08/2015 05/2019
Ubs Financial Services Inc. Charlotte NC 07/2019 Present
  • 06/2013 → 06/2017
    Macgregor Downs Country Club
    Cary, NC
  • 05/2017 → 06/2019
    Avalara
    Durham, NC
  • 05/2018 → 09/2018
    Capitol Financial Solutions
    Raleigh, NC
  • 08/2015 → 05/2019
    Education/Undergrad
    Greenville, NC
  • 07/2019 → Present
    Ubs Financial Services Inc.
    Charlotte, NC
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2019-09-27
  • S66 Uniform Combined State Law Examination
    2019-09-27
Other Names
  • Brendan Farrell

View on SEC IAPD

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Other Offices

TOWNSEND ASSET MANAGEMENT CORP. · RALEIGH, NC
FORTRESS PRIVATE LEDGER, LLC · RALEIGH, NC
OLDE RALEIGH FINANCIAL GROUP · RALEIGH, NC
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · RALEIGH, NC
ADVISORY SERVICES NETWORK · RALEIGH, NC
FORTRESS PRIVATE LEDGER, LLC · RALEIGH, NC
WELLS FARGO CLEARING SERVICES, LLC · RALEIGH, NC
EDWARD JONES · RALEIGH, NC

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