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1200 Harbor Boulevard, Weehawken, NJ 07086 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CO | RA | APPROVED | 2022-02-22 |
| TX | RA | APPROVED | 2022-02-18 |
Branch Locations
205 Detroit Street 5Th Floor, Denver, CO 80206 • United States
Evergreen, CO • 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 |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Englewood | CO | 11/2010 | 02/2022 |
| Bank Of America Na | Greenwood Village | CO | 01/2011 | 02/2022 |
| Ubs Financial Services Inc | Denver | CO | 02/2022 | Present |
I)FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: N5333 DE NEVEU LANCE INVESTMENT RELATED: ADDRESS OF BUSINESS: DE NEVEU LANE FOND DU LAC, WISCONSIN UNITED STATES OF AMERICA54935 NATURE OF BUSINESS: FAMILY BUSINESS POSITION, TITLE, ASSOCIATION: OWNER, START DATE OF RELATIONSHIP: 12/31/1996 NUMBER OF HOURS DEVOTED: 10 ANNUALLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: DUTIES: RENTAL PROPERTY 1000 PER MONTH I*45443 For profit or not for profit: For-Profit Organization Name of outside business organization: Old Horse LLC Investment related: Y Address of business: Evergreen, Colorado 80439 Nature of business: LLC, Position, title, association: Owner, Start date of relationship: 6/1/2010 Number of hours devoted: 5 hour(s) Annually Number of hours devoted during trading hours: 0 Duties: Second Home
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2001-07-20 |
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