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1200 Harbor Boulevard, Weehawken, NJ 07086 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2021-05-10 |
| OH | RA | APPROVED | 2016-10-20 |
Branch Locations
2055 Crocker Road, Westlake, OH 44145 • United States
Huron, OH • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Waddell & Reed Inc | Ft Collins | CO | 01/2014 | 09/2016 |
| Various Insurance Carriers For W&R Insurance Agencies | Loveland | CO | 06/2014 | 09/2016 |
| Ubs Financial Services Inc. | Westlake | OH | 10/2016 | Present |
1) Name of Business: Huron Yacht Club./ Address: 350 Huron St Huron United States44839./ Investment Related: No./ Nature: A private non-profit yacht club, provides a restaurant and dockage for members open year round. Also had gas docks open to the public./ Role: Advisor or advisory group member if advice given may influence an officer/board./ Duty: as a group, analyze financials and make decisions on how the club should budget for planned and unplanned expenses. Work with staff to optimize efficiency and help address concerns to keep the members happy./ Start Date: 10/12/2023./ Time Required: No.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2014-12-16 |
| S65 | Uniform Investment Adviser Law Examination | 2014-11-01 |
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