Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
ROBERT MORRIS CARVER
ROBERT MORRIS CARVER JR, ROBERT MORRIS MORRIS CARVER JR
CRD#: 2367732
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 20 PACIFICA
IRVINE, CA 92618
Registration History
2008201020122014201620182020202220242026IAUBS FINANCIAL SERVICES INC. (CRD# 8174)2008 - Present (17 years)BUBS FINANCIAL SERVICES INC. (CRD# 8174)2007 - Present (17 years)
License(s)

State Registrations

B
Arizona 3/25/2008
B
Massachusetts 3/8/2024
B
California 1/23/2008
B
Michigan 1/5/2016
IA
California 1/23/2008
B
Missouri 9/29/2015
B
Colorado 1/25/2012
B
Nevada 9/24/2015
B
Delaware 9/21/2015
B
New York 9/21/2015
B
Florida 6/18/2013
B
Oregon 1/5/2011
B
Hawaii 9/29/2015
B
Tennessee 9/21/2015
B
Idaho 3/9/2022
B
Texas 9/24/2015
B
Illinois 3/18/2008
B
Utah 12/10/2018
B
Indiana 9/21/2015
B
Washington 1/3/2012
B
Louisiana 1/12/2024

SRO Registrations

B
 BOX Exchange LLC
B
 Cboe Exchange, Inc.
B
 FINRA
B
 NYSE American LLC
B
 NYSE Arca, Inc.
B
 NYSE Chicago, Inc.
B
 Nasdaq ISE, LLC
B
 Nasdaq PHLX LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
UBS FINANCIAL SERVICES INC. (CRD#:8174)
20 PACIFICA, IRVINE, CA 92618
Registered with this firm since 1/23/2008
B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
20 PACIFICA, IRVINE, CA 92618
Registered with this firm since 12/19/2007
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.