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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| VI | RA | APPROVED | 2024-11-22 |
| TX | RA | APPROVED | 2024-11-14 |
| WA | RA | APPROVED | 2024-11-14 |
Branch Locations
401 Union Street Suite 3600, Seattle, WA 98101 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc. | Bellevue | WA | 09/2013 | 11/2024 |
| Rbc Capital Markets, Llc | Seattle | WA | 11/2024 | Present |
1) Name of business: 5th Avenue Theatre./ Address: United States./ Nature: I'm on the corporate council supporting the 5th. They would like to run an ad in the Puget Sound business journal thanking their sponsors. They'd run my Linkedin photo, name, and UBS./ Roles: Advisor or advisory group member if advice given may influence an officer/board./ Duty: Corporate Council member. (2) NAME OF ENTITY: 1x2y LLC ADDRESS: 2553 22nd Av E Seattle, WA 98112 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Private Company START DATE: Oct 13, 2024 CAPACITY: Sole Proprietor DUTIES: Co-manager of the LLC with spouse HOURS DEVOTED PER MONTH: 0 - 4 Hours HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 - 4 Hours
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2004-09-08 |
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