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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 |
|---|---|---|---|
| FL | RA | APPROVED | 2024-10-16 |
| TX | RA | APPROVED | 2024-10-15 |
Branch Locations
19 Center St, Chatham, NJ 07928 • United States
2385 Nw Executive Center Dr Ste 260 [Satellite], Boca Raton, FL 33431 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc. | Boca Raton | FL | 02/2013 | 10/2024 |
| Wells Fargo Advisors Financial Network, Llc | Boca Raton | FL | 10/2024 | Present |
OCEANS AND MOUNTAINS, LLC, INVT RELATED, BOCA RATON, FL, 100% OWNERSHIP, START DATE 10/15/2024, 1 HR PER MONTH, 0 HRS DURING TRADING, PASS THRU FOR FINET INCOME.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1997-06-19 |
| S63 | Uniform Securities Agent State Law Examination | 1997-06-06 |
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