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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2021-11-09 |
| TX | RA | APPROVED_RES | 2019-02-08 |
Branch Locations
Bonita Springs, FL • United States
53 State Street Suite 3600, Boston, MA 02109-1875 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc | Boston | MA | 10/2008 | 10/2018 |
| Rbc Capital Markets, Llc. | Boston | MA | 10/2018 | Present |
| City National Bank | Boston | MA | 09/2019 | Present |
(1) Name of Entity: Marriage Is About Love, Divorce is About Money Non-Investment related Address of Entity: Nature of OBA: book Position/Title/Relationship: Owner - Active Start Date: 02/03/23 Time devoted: 5 hours: 5 hours during securities trading hours Duties: As author, I will promote the book for the purposes of the dissemination of information. (2) NAME OF ENTITY: Investment News magazine/Key Media ADDRESS: James Burton 317 Adelaide Street West, Suite 910 Toronto, Ontario M5V 1P9 - 3190 S Vaughn Way, Suite 550, Aurora, Colorado 80014 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: industry magazine START DATE: 02.05.24 CAPACITY: Other - contributing writer DUTIES: I will provide an article about divorce (from my book) once a month to be included in their magazine HOURS DEVOTED PER MONTH: 1 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 4) NAME OF ENTITY: Babson College ADDRESS: 231 Forest St. Wellesley, MA 02457 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: College START DATE: 08/27/2024 CAPACITY: Educator DUTIES: Teach a freshman Business Law class, twice per week. I will not be an employee of the college. I will be a part time, visiting teacher. HOURS DEVOTED PER MONTH: 1-4 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2021-11-06 |
| S63 | Uniform Securities Agent State Law Examination | 1998-05-01 |
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