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1200 Harbor Boulevard, Weehawken, NJ 07086 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2016-07-19 |
| IA | RA | APPROVED | 2013-10-11 |
Branch Locations
1075 Jordan Creek Parkway Suite 100, West Des Moines, IA 50266 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc. | West Des Moines | IA | 08/2013 | Present |
Putnam / Investment Related - Yes /100 Federal StreetBoston / Investment Management Company / Financial (Consumer & Investment Services) / I have no role with this organization. See my additional comments below. I have been asked to participate in 4 virtual meetings. Nothing else / Start Date: 2/1/2022
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2013-10-11 |
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