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1200 Harbor Boulevard, Weehawken, NJ 07086 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| ME | RA | APPROVED | 2020-09-02 |
| TX | RA | APPROVED | 2020-09-02 |
Branch Locations
One City Center 10Th Floor, Portland, ME 04101 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Rbc Capital Markets, Llc | Portland | ME | 06/2009 | 09/2020 |
| City National Bank | Portland | ME | 09/2019 | 09/2020 |
| Ubs Financial Services Inc. | Portland | ME | 09/2020 | Present |
FALMOUTH ICE HOCKEY ASSOCIATION; ADDRESS: FALMOUTH, MAINE; BUSINESS DESCRIPTION: NOT FOR PROFIT ATHLETIC ASSOCIATION; NOT INVESTMENT RELATED; START DATE: 09/01/2013; CAPACITY: BOARD MEMBER; DUTIES: DIRECT MIDDLE SCHOOL HOCKEY ACTIVITIES; HOURS DEVOTED PER WEEK: 2; HOURS DEVOTED DURING SECURITIES HOURS PER WEEK: 0
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1997-11-12 |
| S63 | Uniform Securities Agent State Law Examination | 1997-10-28 |
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