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Richard Warren Stockton

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
NJ RA APPROVED 2025-04-24
NC RA APPROVED 2024-09-19
  • NJ RA
    APPROVED
    Since 2025-04-24
  • NC RA
    APPROVED
    Since 2024-09-19

Branch Locations

11325 North Community House Road Suite 600, Charlotte, NC 28277 • 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
Morgan Stanley Pwm New York NY 06/2023 08/2023
Sandalwood Securities Roseland NJ 05/2022 07/2022
Siasconset Casino Association Siasconset MA 06/2017 08/2021
Wake Forest University Winston-Salem NC 08/2020 05/2024
Delbarton School Morristown NJ 08/2016 05/2020
Unemployed Summit NJ 05/2024 07/2024
Ubs Financial Services Inc Charlotte NC 07/2024 Present
  • 06/2023 → 08/2023
    Morgan Stanley Pwm
    New York, NY
  • 05/2022 → 07/2022
    Sandalwood Securities
    Roseland, NJ
  • 06/2017 → 08/2021
    Siasconset Casino Association
    Siasconset, MA
  • 08/2020 → 05/2024
    Wake Forest University
    Winston-Salem, NC
  • 08/2016 → 05/2020
    Delbarton School
    Morristown, NJ
  • 05/2024 → 07/2024
    Unemployed
    Summit, NJ
  • 07/2024 → Present
    Ubs Financial Services Inc
    Charlotte, NC
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2024-09-19
  • S66 Uniform Combined State Law Examination
    2024-09-19
Other Names
  • Richard W Stockton
  • Richard Warren Stockton

View on SEC IAPD

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Other Offices

FIRST TRYON ADVISORS · CHARLOTTE, NC
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MAI CAPITAL MANAGEMENT, LLC · Charlotte, NC
LPL FINANCIAL LLC · CHARLOTTE, NC
ARKADIOS WEALTH ADVISORS · Charlotte, NC
MODERA WEALTH MANAGEMENT, LLC · CHARLOTTE, NC
TLG ADVISORS, INC. · Charlotte, NC
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