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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2025-01-02 |
| MN | RA | APPROVED | 2024-12-17 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merril Lynch, Pierce, Fenner & Smith | Wayzata | MN | 05/2014 | 11/2021 |
| Ubs Financial Services | Wayzata | MN | 11/2021 | 11/2024 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Wayzata | MN | 11/2024 | Present |
I*: 2142258Entity Type: Entity For ProfitName of OBA: ShiptAddress: Birmingham, AL 35203Investment Related: nPosition, Title, Association: EmployeeEmployee Start Date: 4hr/wkNo Hours: 0No Hours during trading:Duties: I shop for groceries for customers who use Shipt to shop. I shop and then deliver the items to customer I*3010268 Entity Type: For Profit Name of OBA: Shipt Address:Birmingham Alabama Investment Related:No Position, Title, Association:Employee Start Date:0/31/2025 No Hours: 20 Yearly No Hours during trading:0 Yearly Duties:buying groceries and delivering them to customers. Example, shopping for an order at Target and then delivering them
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2008-02-11 |
| S65 | Uniform Investment Adviser Law Examination | 2008-01-25 |
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