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Detailed Report
Naomi Carole Littenberg
CRD#: 7729833
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 11325 NORTH COMMUNITY HOUSE ROAD
SUITE 600
CHARLOTTE, NC 28277
Registration History
2024AprJulOct2025AprJulOct20262 FIRMS2024 - Present (<1 year)
License(s)

State Registrations

B
Alabama 1/15/2025
B
Nebraska 1/15/2025
B
Alaska 1/15/2025
B
Nevada 1/15/2025
B
Arizona 1/15/2025
B
New Hampshire 1/15/2025
B
Arkansas 1/15/2025
B
New Jersey 1/15/2025
B
California 1/15/2025
B
New Mexico 1/15/2025
B
Colorado 1/15/2025
B
New York 1/15/2025
B
Connecticut 1/15/2025
B
North Carolina 10/31/2024
B
Delaware 1/15/2025
IA
North Carolina 10/31/2024
B
District of Columbia 1/15/2025
B
North Dakota 1/15/2025
B
Florida 1/15/2025
B
Ohio 1/17/2025
B
Georgia 1/15/2025
B
Oklahoma 1/15/2025
B
Hawaii 1/15/2025
B
Oregon 1/15/2025
B
Idaho 1/15/2025
B
Pennsylvania 1/15/2025
B
Illinois 1/15/2025
B
Puerto Rico 1/15/2025
B
Indiana 1/15/2025
B
Rhode Island 1/15/2025
B
Iowa 1/15/2025
B
South Carolina 1/15/2025
B
Kansas 1/15/2025
B
South Dakota 1/15/2025
B
Kentucky 1/15/2025
B
Tennessee 1/15/2025
B
Louisiana 1/15/2025
B
Texas 1/15/2025
B
Maine 1/15/2025
B
Utah 1/15/2025
B
Maryland 1/15/2025
B
Vermont 1/15/2025
B
Massachusetts 1/15/2025
B
Virgin Islands 1/15/2025
B
Michigan 1/15/2025
B
Virginia 1/15/2025
B
Minnesota 1/15/2025
B
Washington 1/15/2025
B
Mississippi 1/15/2025
B
West Virginia 1/15/2025
B
Missouri 1/15/2025
B
Wisconsin 1/15/2025
B
Montana 1/15/2025
B
Wyoming 1/15/2025

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)
11325 NORTH COMMUNITY HOUSE ROAD SUITE 600, CHARLOTTE, NC 28277
Registered with this firm since 10/31/2024
B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
11325 NORTH COMMUNITY HOUSE ROAD SUITE 600, CHARLOTTE, NC 28277
Registered with this firm since 10/7/2024
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.