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1200 Harbor Boulevard, Weehawken, NJ 07086 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| OK | RA | APPROVED | 2017-11-28 |
| TX | RA | APPROVED | 2017-11-28 |
Branch Locations
Oklahoma City, OK • United States
4801 Gaillardia Pkwy Building C, Suite 100, Oklahoma City, OK 73142-1890 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Oklahoma City | OK | 06/1988 | 11/2017 |
| Bank Of America, Na | Oklahoma City | OK | 04/2010 | 11/2017 |
| Ubs Financial Services, Inc | Houston | TX | 11/2017 | Present |
1.) FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: GOOCH FARMS LLC INVESTMENT RELATED: N ADDRESS OF BUSINESS: 1018 JOE KEELEY DR, NORMAN, OKLAHOMA 73072 POSITION, TITLE, ASSOCIATION: FAMILY HELD, START DATE OF RELATIONSHIP: 12/31/2012 NUMBER OF HOURS DEVOTED: 1 HOUR(S) ANNUALLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: FAMILY FARM 2) FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: POA OF ATTORNEY FOR DAUGHTER INVESTMENT RELATED: N ADDRESS OF BUSINESS: NORMAN, OKLAHOMA 73072 NATURE OF BUSINESS: OTHER,INDIVIDUAL RETIREMENT ACCOUNT POSITION, TITLE, ASSOCIATION: FIDUCIARY, START DATE OF RELATIONSHIP: 4/24/2012 NUMBER OF HOURS DEVOTED: 1 HOUR(S) ANNUALLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 1 DUTIES: POA ON DAUGHTER'S RETIREMENT ACCOUNT (ROTH)
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1988-09-07 |
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