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1200 Harbor Boulevard, Weehawken, NJ 07086 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| ME | RA | APPROVED | 2023-09-01 |
| NJ | RA | APPROVED | 2023-08-31 |
| TX | RA | APPROVED_RES | 2011-05-11 |
| OH | RA | APPROVED | 2009-12-18 |
| FL | RA | APPROVED | 2007-02-12 |
Branch Locations
30050 Chagrin Boulevard Suite 200, Pepper Pike, OH 44124 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc. | Mentor | OH | 02/2007 | Present |
1) B.R. CUSTODIAL ACCOUNT / CUSTODIAN / START DATE 11/24/2008 / MANAGE ACCOUNT / 0 HOURS PER MONTH 2) NONE / NOTARIZE PAPERS AS REQUESTED / NONE MENTOR , OH 44060 / NOTARY PUBLIC / 09/15/2010 - / 1 HR PER MONTH. 3) CAITO OUTFITTERS, LLC / 7482 CHURCHILL SQUARE MENTOR OH 44060 / RETAILERS (APPAREL, FOOD, GENERAL) / DESIGN AND SELL T-SHIRTS / OTHER SECRETARY/TREASURER / MAINTAIN FINANCIAL BOOKS / START DATE 06/06/2011.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1996-01-08 |
| S63 | Uniform Securities Agent State Law Examination | 1989-02-06 |
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