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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NJ | RA | APPROVED | 2021-05-07 |
| TX | RA | APPROVED | 2021-05-07 |
Branch Locations
90 Nassau Street 5Th Fl, Princeton, NJ 08542 • United States
Hopewell, NJ • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc | Princeton | NJ | 01/2009 | 04/2021 |
| Rbc Capital Markets, Llc | Princeton | NJ | 05/2021 | Present |
| City National Bank | Princeton | NJ | 08/2021 | Present |
(1)GOVWORKS CONSULTING / P.O. BOX 3059 PRINCETON,NJ 08543 / SERVICES (BUSINESS, PROFESSIONAL, SUPPORT) / GOVERNMENT EFFICIENCY CONSULTING / SOLE PROPRIETORSHIP / CONSULTING / START DATE 1/31/2013 / 10HRS/WEEK - EVENINGS/WEEKENDS MOSTLY. (2)NEW JERSEY CONSERVATION FOUNDATION / BAMBOO BROOK / 170 LONGVIEW ROAD FAR HILLS,NJ 07931 / FOUNDATION/ CHARITIES, CULTURAL, EDUCATIONAL & POLITICAL ORGANISATIONS / LAND PRESERVATION / MEMBER OF BOARD OF DIRECTORS / TRUSTEE DUTIES (ASSIST IN ACHIEVING PRESERVATION GOALS, ETC) / START DATE 4/1/2013. (3)Mount Rose Farm & Distillery LLC / 3 Aunt Molly Road Hopewell,New Jersey 08525 / Other/ Food, Beverages & Tobacco / Farm-based, hobby business / Sole proprietorship / / Farm owner / Start Date 10/01/2016 / (4)NAME OF ENTITY: Hopewell Valley Arts Council; ADDRESS: PO Box 145 Hopewell NJ 08525; NOT INVESTMENT RELATED; BUSINESS DESCRIPTION: Arts Council 501(c)3 CAPACITY: Board of Directors; START DATE: 06/01/17; DUTIES: I serve as a member of the board. The board is the entity that governs the organization. HOURS DEVOTED PER MONTH: 03; HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: None (5) Goerner 2nd residence / 4742 Tennis Club Lane /Kiawah Island/ SC 29455 / United States,/ Personal second residence / Real Estate / 2nd residence, with occasional vacation renting / Proprietor / owner /Receive compensation?: yes/ Start Date 11/1/2009 (6)NAME OF ENTITY: Second Residence (Kiawah Island, SC); ADDRESS: 155 Augusta National Kiawah Island, SC 29455; NOT INVESTMENT RELATED; BUSINESS DESCRIPTION: Second Residence; CAPACITY: Owner/Active; START DATE: 05/01/2021; DUTIES: Home maintenance; HOURS DEVOTED PER MONTH: 01; HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: None;
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1997-08-15 |
| S65 | Uniform Investment Adviser Law Examination | 1997-08-15 |
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