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CARTER D BABB
Carter Babb
CRD#: 7156717
IA
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UBS FINANCIAL SERVICES INC.CRD#: 8174 4600 S. ULSTER STREET -SUITE 700
METRO POINT ONE
DENVER, CO 80202
METRO POINT ONE
DENVER, CO 80202
0
Disclosures
5
Years of Experience
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State Registrations
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Alabama 5/17/2023
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Montana 5/17/2023
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Alaska 5/17/2023
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Nebraska 5/17/2023
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Arizona 5/17/2023
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Nevada 5/17/2023
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Arkansas 5/17/2023
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New Hampshire 5/17/2023
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California 2/9/2021
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New Jersey 5/17/2023
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Colorado 7/15/2020
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New Mexico 5/17/2023
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Colorado 7/15/2020
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New York 5/17/2023
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Connecticut 5/17/2023
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North Carolina 5/17/2023
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Delaware 5/17/2023
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North Dakota 2/9/2021
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District of Columbia 5/17/2023
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Ohio 5/17/2023
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Florida 5/17/2023
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Oklahoma 5/17/2023
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Georgia 5/17/2023
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Oregon 5/17/2023
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Hawaii 5/17/2023
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Pennsylvania 5/17/2023
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Idaho 5/17/2023
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Puerto Rico 5/17/2023
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Illinois 5/17/2023
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Rhode Island 5/17/2023
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Indiana 5/17/2023
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South Carolina 5/17/2023
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Iowa 5/17/2023
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South Dakota 2/9/2021
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Kansas 5/17/2023
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Tennessee 6/23/2022
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Kentucky 5/17/2023
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Texas 2/9/2021
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Louisiana 5/17/2023
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Utah 5/17/2023
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Maine 5/17/2023
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Vermont 5/17/2023
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Maryland 5/17/2023
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Virgin Islands 5/17/2023
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Massachusetts 5/17/2023
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Virginia 6/23/2022
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Michigan 5/17/2023
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Washington 2/9/2021
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Minnesota 5/17/2023
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West Virginia 5/17/2023
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Mississippi 5/17/2023
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Wisconsin 6/23/2022
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Missouri 5/17/2023
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Wyoming 6/23/2022
SRO Registrations
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IA
Registered with this firm since 7/15/2020
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Registered with this firm since 7/15/2020
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 11/21/2019 - 07/13/2020 | ANDERSON, SC | |
B | 10/15/2019 - 07/13/2020 | ANDERSON, SC |
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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.