John H. Carswell

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CRD#: 862983

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

John Harold Carswell was a registered financial professional .

John is a previously registered financial professional and started their career in finance in 1979. John had worked at 7 firms and has passed the Series 63, SIE, Series 7, Series 4, Series 24 and Series 27 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

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

None

Experience

Past

November 30, 2011 - October 24, 2014

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

BEVERLY HILLS, CA

Past

November 30, 2011 - October 24, 2014

UBS FINANCIAL SERVICES INC.

CRD#: 8174

BEVERLY HILLS, CA

Past

June 1, 2009 - December 12, 2011

MORGAN STANLEY

RIA

CRD#: 149777

BEVERLY HILLS, CA

Past

June 1, 2009 - December 12, 2011

MORGAN STANLEY

CRD#: 149777

BEVERLY HILLS, CA

Past

October 19, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

RIA

CRD#: 8209

BEVERLY HILLS, CA

Past

October 19, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

CRD#: 8209

BEVERLY HILLS, CA

Past

January 29, 2001 - October 26, 2007

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

LOS ANGELES, CA

Past

January 12, 2001 - October 26, 2007

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

LOS ANGELES, CA

Past

January 10, 1995 - January 25, 2001

CIBC WORLD MARKETS CORP.

CRD#: 630

NEW YORK, NY

Past

January 5, 1981 - January 18, 1995

J.P. MORGAN SECURITIES LLC

CRD#: 79

NEW YORK, NY

Past

March 1, 1979 - January 24, 1981

BATEMAN EICHLER, HILL RICHARDS, INCORPORATED

CRD#: 76

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

UBS FINANCIAL SERVICES INC.

CRD#: 8174 / SEC#: 801-7163, 8-16267

RIA

Registered Investment Advisory firm - SEC (1/22/1971 Approved)

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

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 7/8/1982

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/24/2014

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/17/1979

General Securities Representative Examination

Principal/Supervisory Exam

Series 4

Date: 12/5/1994

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 11/21/1994

General Securities Principal Examination

Principal/Supervisory Exam

Series 27

Date: 10/21/1994

Financial and Operations Principal Examination

Current Firm

UBS FINANCIAL SERVICES INC.

CRD#: 8174 / SEC#: 801-7163, 8-16267

RIA

Registered Investment Advisory firm - SEC (1/22/1971 Approved)

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

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Contact information

Main Address

1200 Harbor Boulevard, Weehawken, NJ 07086

Mailing Address

315 Deaderick Street 3rd Fl, Compliance Department, Nashville, TN 37238

Phone number

(201) 352-3000

Established

Delaware since 06/30/1969

Firm type

Corporation

Fiscal year end

December

Firm Size

Large

# of Employees

12,629

SEC notice filing (50 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

UBS FINANCIAL SERVICES WRAP FEE PROGRAMS DISCLOSURE BROCHURE (11/13/2025)

FINANCIAL PLANNING SERVICES DISCLOSURE BROCHURE (3/31/2025)

RETIREMENT PLAN CONSULTING SERVICES PROGRAM (3/31/2025)

Direct owners and executive officers

Name	Position	CRD#
UBS AMERICAS INC.	OWNER
CAMACHO, MICHAEL ALAN	PRESIDENT	2907298
FRANCOMANO, LISA M.	CHIEF COMPLIANCE OFFICER FOR THE ADVISORY BUSINESS	2263875
MATTONE, RALPH	PRINCIPAL FINANCIAL OFFICER	1840894
MOZER, PETER	MANAGING DIRECTOR	2523858
MUNFA, LAUREN	CHIEF COMPLIANCE OFFICER	4431011
SAKAI, KIYE	GENERAL COUNSEL	7451987
SOMMA, JOSEPH	PRINCIPAL OPERATIONS OFFICER	2219496

Regulatory assets under management

Total Number of Accounts	1,134,923
AUM (Assets Under Management)	$ 808,822,670,899

Disclosures

Regulatory Event	475
Civil Event	5
Arbitration	443

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
06/26/2025	Cover Page	Report
05/15/2024	Cover Page	Report
12/19/2023	Cover Page	Report

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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Firm Stability Insights

John H. Carswell

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

UBS FINANCIAL SERVICES INC.

MORGAN STANLEY

MORGAN STANLEY

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

CIBC WORLD MARKETS CORP.

J.P. MORGAN SECURITIES LLC

BATEMAN EICHLER, HILL RICHARDS, INCORPORATED

Primary Firm SEC Registration

UBS FINANCIAL SERVICES INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 7/8/1982

SIE

Date: 10/24/2014

Series 7

Date: 2/17/1979

Series 4

Date: 12/5/1994

Series 24

Date: 11/21/1994

Series 27

Date: 10/21/1994

Current Firm

UBS FINANCIAL SERVICES INC.

Contact information

SEC notice filing (50 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

UBS FINANCIAL SERVICES INC.

TRUST BUT VERIFY

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