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1200 Harbor Boulevard, Weehawken, NJ 07086 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2021-11-08 |
| CA | RA | APPROVED | 2019-10-11 |
| TX | RA | APPROVED | 2019-10-11 |
Branch Locations
888 San Clemente Drive, Newport Beach, CA 92660 • United States
Fullerton, CA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Citigroup Global Markets Inc. | Orange | CA | 02/2004 | 10/2019 |
| Morgan Stanley Smith Barney | Orange | CA | 06/2009 | 10/2019 |
| Morgan Stanley Private Bank, National Association | New York | NY | 01/2015 | 10/2019 |
| Ubs Financial Services Inc. | Newport Beach | CA | 10/2019 | Present |
1) NAME OF OTHER BUSINESS:St. John's Lutheran Church of Orange / INVESTMENT RELATED?: no/ ADDRESS:154 South Shaffer Street, Orange,Ca92866 / NATURE OF THE BUSINESS: Charity / POSITION:Member of Board of directors / DUTIES:Treasurer of the Board / START DATE:9/1/2020/ HOURS DEVOTED TO BUSINESS:no 2) ORANGE GROVE LODGE #293 FREE & ACCEPTED MASONS OF CA, As Masons, we lead by example, give back to our communities, and support numerous Masonic philanthropies. We invest in children, our neighborhoods, and our future, Member of Board of directors, ATTEND QUARTERLY MEETINGS TO REVIEW WITH BOARD-MEMBERS THE ENTITY'S INVESTMENTS, start date-6/1/2015
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2010-03-11 |
| S63 | Uniform Securities Agent State Law Examination | 2005-05-24 |
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