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1200 Harbor Boulevard, Weehawken, NJ 07086 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2002-10-23 |
| CA | RA | APPROVED | 1998-09-08 |
Branch Locations
200 Clock Tower Place Suite C-100, Carmel, CA 93923 • United States
200 Clock Tower Place Suite C-100, Carmel, CA 93923 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Security Pacific Investment Division | Los Angeles | CA | 02/1988 | Present |
| Painewebber | Carmel | CA | 05/1998 | Present |
| Ubs Financial Services Inc. | Carmel | CA | 05/1998 | Present |
1. R. L. A. Trust, Distribute the assets of R. L. A. - Deceased, CarmelCA United States, None at present. I am a successor trustee and the current trustee is handling all necessary tasks, start date-8/26/1998.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1997-09-11 |
| S63 | Uniform Securities Agent State Law Examination | 1988-08-11 |
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