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1200 Harbor Boulevard, Weehawken, NJ 07086 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TN | RA | APPROVED | 2022-01-26 |
| TX | RA | APPROVED | 2022-01-25 |
Branch Locations
800 South Gay Street Suite 2600, Knoxville, TN 37929 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Knoxville | TN | 08/2008 | 01/2022 |
| Bank Of America, N.A. | Knoxville | TN | 12/2009 | 01/2022 |
| Ubs Financial Services Inc. | Knoxville | TN | 01/2022 | Present |
1)Name of outside business organization: Conservation Fisheries, Inc. /Investment related: N/Address of business: Knoxville, Tennessee 37919/They are an environmental company./Position, title, association: Advisory Board Member, /Start date of relationship: 1/1/2010/Number of hours devoted: 4 hour(s) Annually/Number of hours devoted during trading hours: 0/Duties: Repopulation of endangered fish species./As a board member, I provide general guidance as to Conservation Fisheries strategic initiatives. 2)NAME OF OTHER BUSINESS: Webb School of Knoxville/ INVESTMENT RELATED?: N / ADDRESS: 9800 Webb School Lane, Knoxville / NATURE OF THE BUSINESS: Private School Education, grades K-12 / POSITION: Member / DUTIES:I am a newly appointed member of the Webb School of Knoxville's board of trustees. I will also continue to serve as Chairman of the Endowment Committee working to insure the endowment and the custodians / outside money managers manage to the school's IPS, provide counsel to the school and regarding their IPS along with other committee members. / START DATE: 1/1/2019 / HOURS DEVOTED TO BUSINESS: NA
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-12-15 |
| S63 | Uniform Securities Agent State Law Examination | 1996-10-23 |
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