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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2017-04-17 |
| CA | RA | APPROVED | 2017-04-13 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc. | San Francisco | CA | 08/2015 | 04/2017 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | San Mateo | CA | 04/2017 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2016-09-08 |
| S63 | Uniform Securities Agent State Law Examination | 2015-07-06 |
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