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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 |
|---|---|---|---|
| CT | RA | APPROVED | 2018-03-05 |
Branch Locations
311 Highland Ave, Cheshire, CT 06410 • United States
2500 Westchester Ave Ste 201 [C3-Rbo], Purchase, NY 10577 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Hsbc Bank | Boca Raton | FL | 04/2016 | 01/2018 |
| Hsbc Securities (U.S.A.) Inc | Boca Raton | FL | 04/2016 | 11/2017 |
| Wells Fargo Bank, Na | Cheshire | CT | 02/2018 | Present |
| Wells Fargo Clearing Services, Llc | Cheshire | CT | 02/2018 | Present |
RENTAL PROPERTY, INVESTMENT RELATED, BOCA RATON, FL, 100% OWNERSHIP WITH SPOUSE, START DATE 01/01/2018, 1 HR/MONTH, 0 HRS DURING TRADING.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2014-02-24 |
| S63 | Uniform Securities Agent State Law Examination | 2013-06-07 |
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