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1200 Harbor Boulevard, Weehawken, NJ 07086 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| OH | RA | APPROVED | 2024-09-11 |
Branch Locations
8044 Montgomery Road, Ste. 10 The Towers At Kenwood, Cincinnati, OH 45236 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Oppenheimer & Co. Inc. | Cincinnati | OH | 06/2011 | 04/2017 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Cincinnati | OH | 04/2017 | 08/2021 |
| Morgan Stanley Smith Barney Llc | Cincinnati | OH | 08/2021 | 08/2024 |
| Ubs Financial Services Inc | Cincinnati | OH | 09/2024 | Present |
1. *487323- Trust; Investment related Yes; Westchester, Ohio; Trust; Trustee/Co-Trustee; 03/2022; During business hours: 0; After business hours: 1; Accounting/Bookkeeping, Check Signing/Funds Disbursements 2. *485866- Trust; Investment related -Yes; West Chester, Ohio; Trustee/Co-Trustee; 02/2022year; During business hours: 0; After business hours: 4;
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2015-01-24 |
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