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1200 Harbor Boulevard, Weehawken, NJ 07086 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2023-12-13 |
| CT | RA | APPROVED | 2003-04-11 |
| TX | RA | APPROVED | 2003-04-11 |
Branch Locations
600 Washington Blvd 9Th Floor, Stamford, CT 06901 • United States
Fairfield, CT • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc. | Stamford | CT | 04/2003 | Present |
Old Ivy LLC/Category -LLC with Tom Mantione/Principal Business Activity- Personal investment LLC/Role - Member of a member run LLC with Tom Mantione/ Duty - Decisions of the investment in the LLC/ Comp - No.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1997-02-21 |
| S63 | Uniform Securities Agent State Law Examination | 1996-12-06 |
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