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John Joseph Obrien

Ubs Financial Services Inc.

Charlotte, NC

Johns Island, SC

Charlotte, 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_RES 2021-06-21
SC RA APPROVED 2020-06-11
NC RA APPROVED 2011-10-31
  • TX RA
    APPROVED_RES
    Since 2021-06-21
  • SC RA
    APPROVED
    Since 2020-06-11
  • NC RA
    APPROVED
    Since 2011-10-31

Branch Locations

6100 Fairview Road 9Th Floor, Charlotte, NC 28277 • United States

Johns Island, SC • United States

Charlotte, 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
Ubs Financial Services Inc Charlotte NC 10/2011 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2008-04-17
S65 Uniform Investment Adviser Law Examination 1992-01-06
S63 Uniform Securities Agent State Law Examination 1987-10-01
  • S66 Uniform Combined State Law Examination
    2008-04-17
  • S65 Uniform Investment Adviser Law Examination
    1992-01-06
  • S63 Uniform Securities Agent State Law Examination
    1987-10-01
Other Names
  • John Obrien

View on SEC IAPD

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