Mark E. Carver

UBS ASSET MANAGEMENT (US)

New York, NY 10019

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CRD#: 1604104

Professional summary

Mark Evan Carver, CIMA®, who also goes by Mark Evan Carver, Mark Carver, is a registered financial professional currently at UBS ASSET MANAGEMENT (US) INC. located in New York, New York.

Mark is registered as a RR (Registered Representative) and started their career in finance in 1987. Mark has worked at 2 firms and has passed the Series 65, Series 63, SIE, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Mark Evan Carver | Mark Carver

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Mark Evan Carver's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CIMA^®

Certified Investment Management Analyst

Experience

Current

May 2, 2022 - Present

UBS ASSET MANAGEMENT (US) INC.

Office #1: 787 Seventh Avenue, New York, NY 10019

CRD#: 583

New York, NY

Past

September 19, 2018 - May 18, 2020

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

October 26, 2009 - September 21, 2018

UBS ASSET MANAGEMENT (US) INC.

CRD#: 583

NEW YORK, NY

Past

June 27, 2002 - August 11, 2004

UBS ASSET MANAGEMENT (US) INC.

CRD#: 583

NEW YORK, NY

Past

September 5, 1997 - July 24, 2002

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

August 14, 1996 - June 12, 1997

UBS ASSET MANAGEMENT (US) INC.

CRD#: 583

NEW YORK, NY

Past

May 21, 1987 - September 10, 1996

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

IAR

Series 65

Date: 7/16/1996

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/9/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 10/22/1996

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 5/16/1987

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

UBS ASSET MANAGEMENT (US) INC.

CRD#: 583 / SEC#: , 8-21901

Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)

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Contact information

Main Address

1285 Avenue Of The Americas, New York, NY 10019

Mailing Address

1285 Avenue Of The Americas, New York, NY 10019

Phone number

(212) 821-3000

Established

Delaware since 05/05/1977

Firm type

Corporation

Fiscal year end

December

Firm Size

Medium

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
UBS AMERICAS INC.	DIRECT OWNER
BELASCO, MICHAEL SCOTT	PRESIDENT AND CEO	4649742
HORAN, KATHLEEN ELIZABETH	CHIEF FINANCIAL OFFICER - FINOP	5188874
KEMPER, MARK FREDERICK	SECRETARY AND CHIEF LEGAL COUNSEL	4347419
MULLEN, BARRY JOHN	CHIEF COMPLIANCE OFFICER	1814958

Disclosures

Regulatory Event

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Mark E. Carver

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Mark Evan Carver's CRS (Customer Relationship Summary).

Certified licenses

Experience

UBS FINANCIAL SERVICES INC.

UBS ASSET MANAGEMENT (US) INC.

UBS ASSET MANAGEMENT (US) INC.

UBS FINANCIAL SERVICES INC.

UBS ASSET MANAGEMENT (US) INC.

UBS FINANCIAL SERVICES INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 7/16/1996

Series 63

Date: 7/9/1996

SIE

Date: 10/1/2018

Series 3

Date: 10/22/1996

Series 7

Date: 5/16/1987

FINRA

Current Firm

UBS ASSET MANAGEMENT (US) INC.

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

UBS ASSET MANAGEMENT (US) INC.

TRUST BUT VERIFY

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