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One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CT | RA | APPROVED | 2019-11-12 |
| TX | RA | APPROVED_RES | 2019-11-07 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc | New York | NY | 12/2008 | 11/2019 |
| Wells Fargo Clearing Services, Llc. | Westport | CT | 11/2019 | Present |
BMI, LLC, INVT RELATED, NEW YORK, NY, 11% OWNERSHIP, START DATE 1/1/2000, 1 HR PER MONTH, 0 HRS DURING TRADING, COLLECT RENT, PAY BILLS, COMMUNICATION WITH OTHER MEMBERS.; CO-TRUSTEE FOR MOTHER'S TRUST, INV RELATED, NEW YORK, NY, START: 06/30/2011, 0 HRS/MONTH, 0 HRS DURING TRADING.; CO-TRUSTEE FOR MOTHER'S INSURANCE TRUST, INV RELATED, NEW YORK, NY, START: 10/08/2020, 0 HOURS A MONTH, 0 HOURS DURING TRADING. TCS-SYNAGOGUE, NOT INVT RELATED, WESTPORT, CT, BOARD OF TRUSTEES, START DATE 6/7/2024, 2 HRS PER MONTH, 0 HRS DURING TRADING, ATTENDING MEETINGS, PROVIDING STRATEGIC CONSULTING, PROVIDING ADVICE AND ASSISTING WITH FUND RAISING. THE COMMUNITY SYNAGOGUE; NOT INV RELATED;WESTPORT,CT; RELIGIOUS COMMUNITY. TERM IS INDEFINITE.; FINANCE COMMITTEE MEMBER; START DATE: 7/1/2026; 1 HRS PER MONTH; 0 HRS DURING TRADING;
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1997-04-10 |
| S63 | Uniform Securities Agent State Law Examination | 1996-12-06 |
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