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1200 Harbor Boulevard, Weehawken, NJ 07086 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2022-08-15 |
| CO | RA | APPROVED | 2022-04-26 |
Branch Locations
4600 S. Ulster Street -Suite 700 Metro Point One, Denver, CO 80237 • United States
205 Detroit Street 5Th Floor, Denver, CO 80206 • United States
Littleton, CO • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Bank | Denver | CO | 10/2003 | 07/2019 |
| Wells Fargo Advisors Llc | Denver | CO | 01/2011 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Denver | CO | 11/2016 | 07/2019 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Denver | CO | 07/2019 | 04/2022 |
| Ubs Financial Services Inc | Denver | CO | 04/2022 | Present |
| Bank Of America, N.A. | Denver | CO | 08/2019 | 04/2022 |
BIG BEN LLC. INV RELATED, LITTLETON, CO, 100% OWNER REAL ESTATE, START: 7/25/2000, 0 HOURS PER MONTH, NO DUTIES. FAT CATS LLC, NOT INVESTMENT RELATED, LITTLETON, CO, 50.01% OWNER IN OIL & GAS INVESTMENT, START: 12/2008, 0 HOURS PER MONTH, NO DUTIES. CARRINGTON ENERGY LLC; INV RELATED; LITTLETON, CO; PASSIVE INVESTMENT IN FAMILY OIL AND GAS WELLS; 100% OWNERSHIP WITH SPOUSE; START 5/21/2008; 0 HOURS PER MONTH, 0 DURING TRADING; OWNER, NO DUTIES.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2001-03-06 |
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