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One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2024-04-30 |
| HI | RA | APPROVED | 2024-04-30 |
| RI | RA | APPROVED | 2024-01-17 |
| TX | RA | APPROVED_RES | 2024-01-09 |
Branch Locations
1 Citizens Plz Ste 520, Providence, RI 02903 • United States
Venice, FL • 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. | Providence | RI | 03/2015 | 01/2024 |
| Wells Fargo Clearing Services, Llc | Providence | RI | 01/2024 | Present |
WNRI RADIO STATION; NOT INV RELATED; WOONSOCKET, RI; CO-HOST; START 06/01/2000; 4 HOURS PER MONTH; 0 HOURS DURING TRADING; CO-HOST RADIO SHOW.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2000-06-09 |
| S63 | Uniform Securities Agent State Law Examination | 2000-06-02 |
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