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One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IL | RA | APPROVED | 2023-07-21 |
| CT | RA | APPROVED | 2020-01-16 |
Branch Locations
30 S Wacker Dr Ste 4000 [Gs-Rbo], Chicago, IL 60606 • United States
1 Lafayette Pl, Greenwich, CT 06830 • United States
Chicago, IL • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc. | Stamford | CT | 04/2012 | 01/2020 |
| Wells Fargo Clearing Services Llc | Old Greenwich | CT | 01/2020 | Present |
A PERALTA FAMILY HOLDING LLC; INV RELATED; WATERBURY, CT; REAL ESTATE RENTAL PROPERTY; 100% OWNERSHIP; START DATE 01/12/2025; 1 HOUR PER MONTH; 0 HOURS DURING TRADING | RENTAL PROPERTY; INV RELATED; NAUGATUCK, CT; 100% OWNERSHIP; START DATE 07/27/2006; 1 HOUR PER MONTH; 0 HOURS DURING TRADING
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2009-02-17 |
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