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880 Carillon Parkway, St. Petersburg, FL 33716 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CT | RA | APPROVED | 2019-06-18 |
| TX | RA | APPROVED_RES | 2019-06-10 |
Branch Locations
285 Riverside Avenue Suite 205, Westport, CT 06880 • 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 |
|---|---|---|---|---|
| Ubs Financial Services Inc | Westport | CT | 01/2008 | 06/2019 |
| New York Sports Club | Stamford | CT | 12/1999 | 05/2019 |
| Raymond James & Associates, Inc. | Westport | CT | 06/2019 | Present |
(1)Name of Business: Audaz, Inc. Address: 287 Fillow Street, Norwalk , CT, 06850, United States Activity Type: Business Owner Position/Title: Other Investment Related: No Start Date: 07/17/2017 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: We are developing a VR self help application for mobile devices. Not currently active. (2)Name of Business: X9 Holdings, LLC Address: 287 Fillow Street, Norwalk, CT, 06850, United States Activity Type: Business Owner Position/Title: Partner Investment Related: Yes Start Date: 09/28/2009 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: X9 Holdings is a partnership that holds illiquid shares of a number of defunct companies. Currently inactive.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2008-03-26 |
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