Individual Firm
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CHARLES E MCCOOL
CHARLES EDWARD MCCOOL
CRD#: 4079654
IA
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UBS FINANCIAL SERVICES INC.CRD#: 8174 New Canaan, CT
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Disclosures
25
Years of Experience
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State Registrations
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Arizona 1/14/2023
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New Mexico 4/21/2022
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California 8/27/2020
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New York 1/16/2009
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Colorado 1/16/2009
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North Carolina 8/16/2021
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Connecticut 1/16/2009
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Ohio 5/19/2022
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Connecticut 1/16/2009
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Oklahoma 8/5/2011
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Delaware 11/20/2012
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Oregon 11/16/2021
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District of Columbia 3/2/2022
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Pennsylvania 2/13/2019
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Florida 1/16/2009
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Puerto Rico 4/21/2022
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Georgia 1/16/2009
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Rhode Island 1/20/2016
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Illinois 1/16/2009
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South Carolina 11/12/2020
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Kansas 4/21/2022
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Texas 1/16/2009
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Maine 7/7/2009
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Texas 1/16/2009
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Maryland 10/20/2020
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Utah 11/14/2017
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Massachusetts 1/16/2009
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Vermont 5/20/2015
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Michigan 1/14/2023
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Virginia 1/16/2009
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Nevada 10/14/2024
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Washington 10/20/2020
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New Hampshire 4/21/2022
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Wisconsin 4/21/2022
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New Jersey 1/16/2009
SRO Registrations
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IA
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| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 04/02/2007 - 01/21/2009 | PURCHASE, NY | |
B | 04/02/2007 - 01/21/2009 | PURCHASE, NY | |
IA | 09/08/2006 - 04/02/2007 | PURCHASE, NY | |
B | 05/07/2004 - 04/02/2007 | PURCHASE, NY | |
IA | 05/26/1999 - 05/18/2004 | NEW YORK, NY | |
B | 12/07/2000 - 05/17/2004 | NASHVILLE, TN | |
B | 01/18/2000 - 12/07/2000 | NEW YORK, NY |
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.