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Detailed Report
RAY MARSHALL EVANS III
RAY MARSHALL EVANS III III
CRD#: 4435282
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 941 Houston Northcutt Blvd
Suite 100
Mt. Pleasant, SC 29464
Registration History
20022004200620082010201220142016201820202022202420262 FIRMS2007 - 2009 (2 years)2 FIRMS2009 - 2020 (10 years)2 FIRMS2020 - Present (5 years)BMORGAN STANLEY DW INC. (CRD# 7556)2001 - 2007 (5 years)IAMORGAN STANLEY (CRD# 7556)2002 - 2007 (5 years)
License(s)

State Registrations

B
California 1/21/2020
B
New York 1/21/2020
B
Colorado 1/21/2020
B
North Carolina 1/21/2020
B
Connecticut 1/21/2020
IA
North Carolina 1/21/2020
B
Delaware 1/21/2020
B
South Carolina 1/21/2020
B
District of Columbia 1/21/2020
IA
South Carolina 2/10/2021
B
Florida 1/21/2020
B
Tennessee 1/21/2020
B
Georgia 1/21/2020
B
Utah 7/3/2023
IA
Georgia 10/16/2023
IA
Utah 7/5/2023
B
Illinois 1/21/2020
B
Vermont 1/21/2020
B
Indiana 4/4/2022
B
Virginia 1/21/2020
B
Kansas 1/21/2020
B
Washington 1/21/2020
B
Maine 1/21/2020
B
West Virginia 1/21/2020
B
New Jersey 1/21/2020
B
Wyoming 1/21/2020
B
New Mexico 1/21/2020

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)
941 Houston Northcutt Blvd Suite 100, Mt. Pleasant, SC 29464
6100 Fairview Road 9th Floor, CHARLOTTE, NC 28277
Registered with this firm since 1/21/2020
B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
941 Houston Northcutt Blvd Suite 100, Mt. Pleasant, SC 29464
6100 Fairview Road 9th Floor, CHARLOTTE, NC 28277
Registered with this firm since 1/17/2020
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 06/03/2009 - 01/21/2020 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) CHARLESTON, SC
B
 06/01/2009 - 01/21/2020 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) CHARLESTON, SC
IA
 04/02/2007 - 06/02/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) CHARLESTON, SC
B
 04/02/2007 - 06/02/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) CHARLESTON, SC
IA
 02/06/2002 - 04/02/2007 MORGAN STANLEY (CRD#:7556) CHARLESTON, SC
B
 09/28/2001 - 04/02/2007 MORGAN STANLEY DW INC. (CRD#:7556) CHARLESTON, SC
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.