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2835 82Nd Avenue Se Ste 100, Mercer Island, WA 98040 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2016-07-11 |
Branch Locations
700 Louisiana St. 48Th Floor, Houston, TX 77002 • United States
2835 82Nd Avenue Se Ste 100, Mercer Island, WA 98040 • 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 | Houston | TX | 10/2010 | Present |
Insurance licensed in State of TX for Life, Accident, Health and HMO since 12/2004. Approx 2 hrs per month during securities hours. Less than 5% of income.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2004-10-28 |
| S63 | Uniform Securities Agent State Law Examination | 2002-02-19 |
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