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880 Carillon Parkway, St. Petersburg, FL 33716 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2023-10-02 |
| CA | RA | APPROVED | 2023-09-29 |
Branch Locations
1216 State Street Suite 500, Santa Barbara, CA 93101 • 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. | Santa Barbara | CA | 03/2014 | Present |
| Raymond James & Associates | Santa Barbara | CA | 09/2023 | Present |
50 Fathoms LLC -United States / 315 Bath Street suite 11 / Santa Barbara / California / United States / 93101 / n/a / No / Company / / Food, Beverages & Tobacco / / 50 Fathoms LLC The business is production of wine and spirits that are submerged in metal cages into the ocean off the Channel Islands of Santa Barbara, CA. Ocean Fathoms aka 50 Fathoms LLC / 125 South Quarantina Street Santa Barbara California United States 93103 - 50 Fathoms LLC is a division of ICT LLC (PFI AOL 81062 2559) which is a approved and disclosed holding. The business is production of wine and spirits that are submerged in metal cages into the ocean off the Channel Islands of Santa Barbara, CA.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1996-04-30 |
| S63 | Uniform Securities Agent State Law Examination | 1989-04-04 |
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