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1200 Harbor Boulevard, Weehawken, NJ 07086 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| SC | RA | APPROVED | 2025-07-14 |
| NC | RA | APPROVED | 2020-01-17 |
Branch Locations
6100 Fairview Road 9Th Floor, Charlotte, NC 28277 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Charlotte | NC | 05/1999 | 01/2020 |
| Bank Of America, N.A. | Charlotte | NC | 04/2015 | 01/2020 |
| Ubs Financial Services, Inc. | Charlotte | NC | 01/2020 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2002-04-10 |
| S63 | Uniform Securities Agent State Law Examination | 1996-12-10 |
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