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1200 Harbor Boulevard, Weehawken, NJ 07086 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2025-03-31 |
| NJ | RA | APPROVED | 2025-03-17 |
| CO | RA | APPROVED | 2025-02-18 |
Branch Locations
370-17Th Street, Denver, CO 80202 • United States
4600 S. Ulster Street 7Th Floor, Denver, CO 80237 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Jpmorgan Chase Bank, N.A. | Denver | CO | 09/2013 | 10/2016 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Denver | CO | 10/2016 | 03/2020 |
| Bank Of America N.A. | Denver | CO | 10/2016 | 03/2020 |
| Cresset Asset Management, Llc | Denver | CO | 03/2020 | 02/2025 |
| Ubs Financial Services Inc. | Denver | CO | 02/2025 | Present |
(1) I*122157 For profit or not for profit: For-Profit Organization Name of outside business organization: TBS Investments LLC Investment related: N Address of business: Wilmington, Delaware 19801 Nature of business: LLC, Position, title, association: Owner, Start date of relationship: 4/2/2019 Number of hours devoted: 1 hour(s) Quarterly Number of hours devoted during trading hours: 0 Duties: The purpose of the LLC is to engage in any lawful business that may be conducted. Specifically, the two members (me and my wife) are using this to invest in her business, Dana's Organic Wines, Inc. (2) I*121828 For profit or not for profit: For-Profit Organization Name of outside business organization: Shamrock Moose LLC Investment related: N Address of business: Denver, Colorado 80230 Nature of business: LLC, Position, title, association: Limited Partner, Start date of relationship: 4/1/2019 Number of hours devoted: 1 hour(s) Annually Number of hours devoted during trading hours: 0 Duties: The purpose of the LLC is to engage in any lawful activity for which a limited liability company is able to. Pete Sherlock is the manager of the LLC, I am a non-managing member. (3) I*123354 For profit or not for profit: For-Profit Organization Name of outside business organization: Shamrock Moose II LLC Investment related: N Address of business: Denver, Colorado 80211 Nature of business: LLC, Position, title, association: Other, Manager Start date of relationship: 5/16/2019 Number of hours devoted: 2 hour(s) Annually Number of hours devoted during trading hours: 0 Duties: To conduct any business permitted by Colorado law. (4) Exit Planning Institute; President of the local chapter; Not investment related; No compensation; About 5 hours per quarter of time spent on this activity; 0 hours during trading hours. (5) Dos Zapatos LLC; Limited partner; This activity is not investment related and does not provide a substantial amount of income; Mr. Spaulding spends approximately 1 hour per year on this activity; 0 during trading hours
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2025-03-14 |
| S65 | Uniform Investment Adviser Law Examination | 2017-02-10 |
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