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1200 Harbor Boulevard, Weehawken, NJ 07086 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2023-03-20 |
| TX | RA | APPROVED_RES | 2023-03-13 |
| NY | RA | APPROVED | 2023-03-11 |
| RI | RA | APPROVED | 2023-03-10 |
| CA | RA | APPROVED | 2023-03-09 |
Branch Locations
500 Exchange Street Suite 1210, Providence, RI 02903 • 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 |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | East Providence | RI | 10/2009 | 03/2023 |
| Bank Of America, N.A. | Providence | RI | 07/2011 | 03/2023 |
| Ubs Financial Services Inc | Providence | RI | 03/2023 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2003-11-10 |
| S65 | Uniform Investment Adviser Law Examination | 2000-02-14 |
| S63 | Uniform Securities Agent State Law Examination | 1997-08-26 |
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