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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| VI | RA | APPROVED | 2023-09-25 |
| CA | RA | APPROVED | 2023-09-21 |
| TX | RA | APPROVED | 2023-09-20 |
Branch Locations
Two Portland Square 5Th Floor, Portland, ME 04101-4088 • United States
Falmouth, ME • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc | Boston | MA | 01/2014 | 09/2023 |
| Rbc Capital Markets, Llc | Marin | CA | 09/2023 | Present |
(1) Name of Entity: 702 Marina Villas, Captiva, FL 33924 Non-investment related Address of entity: 702 Marina Villas Captiva, FL 33924 Nature of OBA: Investment property Position/title/Relationship: Owner - Passive Start date: 10/03/23 Time devoted: 0 Duties: Passive ownership
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1998-08-26 |
| S63 | Uniform Securities Agent State Law Examination | 1998-02-10 |
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