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1200 Harbor Boulevard, Weehawken, NJ 07086 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2021-10-18 |
| MN | RA | APPROVED | 2017-07-18 |
| TX | RA | APPROVED_RES | 2017-07-18 |
Branch Locations
80 South 8Th Street Suite 2900, Minneapolis, MN 55402 • United States
Sag Harbor, NY • United States
Saint Paul, MN • 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 |
|---|---|---|---|---|
| Rbc Capital Markets, Llc | Minneapolis | MN | 09/1999 | 07/2017 |
| Ubs Financial Ssrvices | Minneapolis | MN | 07/2017 | Present |
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1999-12-31 |
| S65 | Uniform Investment Adviser Law Examination | 1999-12-11 |
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