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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2025-08-08 |
| TX | RA | APPROVED | 2025-08-08 |
Branch Locations
5786 Widewaters Pkwy Suite 2, Syracuse, NY 13214-3500 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc. | Syracuse | NY | 05/2012 | 08/2025 |
| Rbc Capital Markets, Llc | Syracuse | NY | 08/2025 | Present |
1) Women Business Opportunities Connections / 5701 East Circle Drive Cicero,New York 13039 / Association (i.e., Trade or Industry, Sport...)/ Charities, Cultural, Educational & Political Organisations / Provide educational programming and networking opportunties to its members. / Member of Board of Directors / / Provide guidance on mission and programming. / Start Date 6/1/16 / 5 hours/month 2) Onondaga ARC/Investment related?: no/600 South Wilbur Avenue,Sryacuse, Onondaga,New York 13204/Charity/Member of Board of directors/Help with creating awareness for the entity and collaborating with like organizations./8/7/2017/TIme required off work?: yes,About 3 to 4 hours a month./ 3) Name of Business: WISE Women's Business Center./ Address: 100 Madison Street Syracuse NY United States 13202./ Investment Related: No./ Nature: An advisory Board position./ Role: Advisor or advisory group member if advice given may influence an officer/board./ Duty: Be a member on an advisory board./ Start Date: 9/28/2023./ Time Required: Yes.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2012-07-17 |
| S65 | Uniform Investment Adviser Law Examination | 2011-11-19 |
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