Carroll
Mullis

Ubs Financial Services Inc

CRD#5531627
Investment Advisor
in Atlanta, GA
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About this Advisor

Carroll Mullis is an advisor whose office is in Atlanta, Georgia. Currently a registered investment advisor at Ubs Financial Services Inc, Mullis has 10 years of work experience. Mullis holds Series 63 and Series 65 licenses, designating the advisor as both a securities agent and an investment advisor representative. Mullis can work with clients based out of Georgia. Their career trajectory has included roles at Stanford Group Company, Oppenheimer & Co. Inc and Ubs Financial Services Inc. Ubs Financial Services Inc is headquartered in Atlanta, Georgia, and has 369 additional offices across the United States. As a registered investment advisory firm, Ubs Financial Services Inc manages $496 billion in assets throughout 922,927 client accounts and employs more than 13,402 people. The level of assets currently under the firm's management places it among the biggest investment advisory firms in the United States. The firm manages 453,419 accounts on a discretionary basis, meaning the advisor makes all of the buying and selling decisions on the client's behalf. Currently 52% of the investment firm's investors are high-net-worth individuals, meaning they have more than $1 million in investable assets. Ubs Financial Services Inc offers financial planning services, portfolio management for individuals and small businesses, portfolio management for institutional clients, pension consulting services, selection of other advisers, publication of newsletters, security rating services and educational seminars. The firm may charge clients asset-based, hourly, fixed, commission-based and other fees.

Certifications and Registrations

Series 63, Series 65, Chartered Financial Analyst

Years of Experience

10 years

Services Offered

Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients, Pension consulting services, Selection of other advisers, Publication of periodicals or newsletters, Security ratings or pricing services, Educational seminars/workshops

Fee Structure

Percentage of Assets, Hourly Charges, Fixed Fees, Commissions, Others

Disclosures

No

Office Location

600 Northpark Town Center 1200 Abernathy Road Suite 1850
Atlanta, GA 30328

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Ubs Financial Services Inc Brokerage Details

Total Assets Under Management

$496,034,949,376

GA Average: $10,121,009,343
Total Number of Employees

13,335

GA Average: 92
Total Number of Accounts

957,738

GA Average: 6,978
Average Account Size

$517,923

GA Average: $1,450,417

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Investment Advisory Services

  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses or institutional clients
  • Pension consulting services
  • Selection of other advisers
  • Publication of periodicals or newsletters
  • Security ratings or pricing services
  • Educational seminars/workshops

Carroll Mullis Work History

Carroll has 10 years of experience.

2016 - Present (3 years)

Ubs Financial Services Inc

2009 - 2016 (7 years)

Oppenheimer & Co. Inc

2008 - 2009 (1 year)

Stanford Group Company

Disclosures

Carroll Mullis has no disclosures.

Please visit their SEC profile for more details.

This content was compiled from the SEC and FINRA.

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