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Detailed Report
WILLIAM ANTHONY CARMODY
WILLIAM A CARMODY
CRD#: 5425395
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 ONE JERICHO PLAZA
SUIT 205
JERICHO, NY 11753
Registration History
2010201220142016201820202022202420262 FIRMS2009 - Present (15 years)
License(s)

State Registrations

B
California 5/24/2010
B
North Carolina 6/22/2011
B
Connecticut 7/27/2010
B
Pennsylvania 7/30/2009
B
Florida 10/2/2009
B
South Carolina 7/19/2011
B
Maryland 3/21/2022
B
Texas 7/30/2009
B
New Jersey 1/29/2009
IA
Texas 9/8/2009
B
New York 2/24/2009
B
Wisconsin 11/14/2022
IA
New York 10/26/2021

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)
ONE JERICHO PLAZA SUIT 205, JERICHO, NY 11753
Registered with this firm since 9/8/2009
B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
ONE JERICHO PLAZA SUIT 205, JERICHO, NY 11753
Registered with this firm since 1/29/2009
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.