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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2025-04-22 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Cambridge Investment Research, Inc | Fairfield | IA | 01/2010 | 06/2018 |
| First Dallas Financial Group, Inc. | Dallas | TX | 01/2008 | 06/2018 |
| Cambridge Investment Research Advisors, Inc. | Fairfield | IA | 07/2012 | 06/2018 |
| Ubs Financial Services, Inc. | Plano | TX | 06/2018 | 03/2025 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Frisco | TX | 03/2025 | Present |
I*2688272, Entity Type: , Name of OBA: R S, Address: Allen, Texas, 75013, Investment Related: N, Position, Title, Association: Power of Attorney, Employee State Date: 08/04/2025, No Hours: 1 Monthly, No Hours during Trading: 1 Monthly, Duties:
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2010-08-19 |
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