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1200 Harbor Boulevard, Weehawken, NJ 07086 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| ME | RA | APPROVED | 2021-07-16 |
| TX | RA | APPROVED | 2021-07-16 |
Branch Locations
One City Center 10Th Floor, Portland, ME 04101 • United States
Biddeford, ME • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Bank Of America, N.A. | Portland | ME | 10/2004 | 07/2021 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Portland | ME | 10/2009 | 07/2021 |
| Ubs Financial Services, Inc. | Portland | ME | 07/2021 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2009-12-18 |
| S63 | Uniform Securities Agent State Law Examination | 2000-02-29 |
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