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Samantha R Goodman

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
WA RA APPROVED 2026-05-27
NC RA APPROVED 2025-03-18
  • WA RA
    APPROVED
    Since 2026-05-27
  • NC RA
    APPROVED
    Since 2025-03-18

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
Ubs Financial Services Inc. Charlotte NC 01/2025 Present
La Provence Beaverton OR 10/2024 12/2024
University Of Colorado Boulder Boulder CO 08/2020 05/2024
Robert W Baird Boston MA 06/2023 08/2023
Sforno Trattoria Boulder CO 09/2022 10/2022
Robert W Baird Boston MA 06/2022 08/2022
Si Senor Beaverton OR 06/2021 08/2021
Unemployed Portland OR 05/2024 10/2024
American Medical Concepts Wilsonville OR 06/2020 08/2020
Jesuit High School Portland OR 09/2016 06/2020
Unemployed Portland OR 06/2020 08/2020
  • 01/2025 → Present
    Ubs Financial Services Inc.
    Charlotte, NC
  • 10/2024 → 12/2024
    La Provence
    Beaverton, OR
  • 08/2020 → 05/2024
    University Of Colorado Boulder
    Boulder, CO
  • 06/2023 → 08/2023
    Robert W Baird
    Boston, MA
  • 09/2022 → 10/2022
    Sforno Trattoria
    Boulder, CO
  • 06/2022 → 08/2022
    Robert W Baird
    Boston, MA
  • 06/2021 → 08/2021
    Si Senor
    Beaverton, OR
  • 05/2024 → 10/2024
    Unemployed
    Portland, OR
  • 06/2020 → 08/2020
    American Medical Concepts
    Wilsonville, OR
  • 09/2016 → 06/2020
    Jesuit High School
    Portland, OR
  • 06/2020 → 08/2020
    Unemployed
    Portland, OR
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2024-09-28
  • S66 Uniform Combined State Law Examination
    2024-09-28
Other Names
  • Samantha R Goodman
  • Sammy Rose Goodman
  • Samantha Rose Goodman

View on SEC IAPD

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Other Offices

FIRST TRYON ADVISORS · CHARLOTTE, NC
MUIRFIELD WEALTH ADVISORS LLC · CHARLOTTE, NC
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
LPL FINANCIAL LLC · CHARLOTTE, NC

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