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1200 Harbor Boulevard, Weehawken, NJ 07086 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2022-06-11 |
Branch Locations
Promenade One 17802 Ih 10 W Suite 210, San Antonio, TX 78257 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wachovia Bank, N.A. | Addison | TX | 02/2007 | 05/2022 |
| Wells Fargo Advisors Llc | San Antonio | TX | 05/2009 | 11/2016 |
| Wells Fargo Clearing Services, Llc | San Antonio | TX | 11/2016 | Present |
| Ubs Financial Services.iNc | San Antonio | TX | 05/2022 | Present |
CHICA-BAR FAMILY RANCH, NOT INV RELATED, SOMERSET, TX, 100% OWNERSHIP WITH SPOUSE, START 1/1/2020, 8 HOURS PER MONTH, ZERO DURING TRADING, CATTLE RANCH AND US AG EXEMPTIONS.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2007-10-26 |
| S63 | Uniform Securities Agent State Law Examination | 2007-10-12 |
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