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1200 Harbor Boulevard, Weehawken, NJ 07086 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2023-01-23 |
| TX | RA | APPROVED | 2023-01-20 |
Branch Locations
555 California Street 32Nd Floor/ Suite 3200, San Francisco, CA 94104 • United States
555 California St 34Th, 36Th & 46Th Floors, San Francisco, CA 94104 • United States
San Francisco, 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 Francisco | CA | 11/2013 | 01/2023 |
| Bank Of America, N.A. | San Francisco | CA | 12/2013 | 01/2023 |
| Ubs Financial Services Inc. | San Francisco | CA | 01/2023 | Present |
I*128604 For profit or not for profit: For-Profit Organization Name of outside business organization: BAP415 LLC Investment related: Y Address of business: SAN FRANCISCO, California 94131 Nature of business: LLC Position, title, association: General Partner, Start date of relationship: 12/10/2019 Number of hours devoted: 1 hour(s) Annually Number of hours devoted during trading hours: 0 Duties: Personal LLC for investments.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2008-03-27 |
| S63 | Uniform Securities Agent State Law Examination | 2004-04-13 |
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