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1200 Harbor Boulevard, Weehawken, NJ 07086 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2020-08-17 |
| TX | RA | APPROVED | 2020-08-14 |
Branch Locations
555 California St 34Th, 36Th & 46Th Floors, San Francisco, CA 94104 • United States
555 California Street 32Nd Floor/ Suite 3200, San Francisco, CA 94104 • United States
Napa, CA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | San Jose | CA | 02/2007 | Present |
| Bank Of America, N.A. | San Jose | CA | 08/2009 | Present |
| Ubs Financial Services, Inc. | San Francisco | CA | 08/2020 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-08-11 |
| S63 | Uniform Securities Agent State Law Examination | 1998-07-01 |
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