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1200 Harbor Boulevard, Weehawken, NJ 07086 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2023-11-09 |
| NY | RA | APPROVED | 2021-10-26 |
| NJ | RA | APPROVED | 2020-02-20 |
Branch Locations
201 West 3Rd Street Suite 200, Jamestown, NY 14701 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Aj Peppy & Sj Peppy Dds, Pc | Jamestown | NY | 09/1998 | Present |
| Guardian Life Insurance Company | Jamestown | NY | 02/2019 | 02/2020 |
| Park Avenue Securities | Jamestown | NY | 05/2019 | 02/2020 |
| Ubs Financial Services Inc | Jamestown | NY | 02/2020 | Present |
1) Executor/POA for Anthony John Peppy; non-investment related; Address: 3660 Crestview Road, Bemus Point, NY 147012; Trust Related Services; Executor and POA; Start: 09/02/2005; 0 hours/month devoted to the other business; 0 during securities trading hours 2) Executor/POA for Rita M Monaco; non-investment related; 3660 Crestview Road, Bemus Point, NY, 14712; Trust Related Services; Executor/POA; Start: 09/28/1998; 0 hours/month devoted to the other business; 0 during securities trading hours 2) POA for Jocelyn Ann Monaco; non-investment related; Address: 316 Cole Avenue, Jamestown, NY, 14701; Trust Related Services; POA; Start: 09/28/1998; 0 hours/month devoted to the other business; 0 during securities trading hours 3) Peppy Holdings, Inc./ United States / 1237 North Main Street, Jamestown 14701 / Company / Real Estate / real estate holding company / I serve of the President of the corporation in charge of its' business and affairs / Start Date 4/25/2005 4) The Resource Center / 200 Dunham AvenueJamestownNew YorkUnited States14701 / The Resource Center has been providing services to persons with disabilities in the Chautauqua County area since 1958. From our humble beginnings as a gathering of parents and concerned citizens who wanted to provide educational and training opportunities for persons with developmental and intellectual disabilities, The Resource Center has grown into a comprehensive agency providing services to thousands of persons with all types and levels of disabilities. / Health Care & Pharmaceuticals / The New Board Advisory Committee / 3/16/2022
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2019-11-04 |
| S65 | Uniform Investment Adviser Law Examination | 1998-08-04 |
| S63 | Uniform Securities Agent State Law Examination | 1998-04-06 |
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