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JAMES TERENCE CARLETON
J. TERENCE CARLETON, JAMES CARLETON
CRD#: 5749713
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 One Post Office Square
35th Floor
BOSTON, MA 02109
Registration History
2010201220142016201820202022202420262 FIRMS2010 - Present (14 years)
License(s)

State Registrations

B
Arizona 4/9/2010

B
Massachusetts 3/31/2010

B
California 12/20/2019

B
Missouri 11/5/2024

B
Connecticut 4/9/2010

B
New Hampshire 4/9/2010

B
Delaware 1/31/2023

B
New Jersey 6/17/2015

B
Florida 4/9/2010

B
New York 2/9/2022

B
Indiana 3/15/2024

B
Rhode Island 4/9/2010

B
Maine 4/9/2010

IA
Texas 7/6/2010

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

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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 Post Office Square 35th Floor, BOSTON, MA 02109
Registered with this firm since 7/6/2010

B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
One Post Office Square 35th Floor, BOSTON, MA 02109
Registered with this firm since 3/5/2010

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B
Broker
IA
Investment Adviser
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.