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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 |
|---|---|---|---|
| OH | RA | APPROVED | 2018-11-02 |
| TX | RA | APPROVED | 2018-11-02 |
Branch Locations
380 Polaris Pkwy Ste 250, Westerville, OH 43082 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc | New Albany | OH | 01/2009 | 11/2018 |
| Wells Fargo Clearing Services Llc | Columbus | OH | 11/2018 | Present |
V&M LOGISTICS LLC, INV RELATED, PALM SPRINGS, 100% OWNERSHIP, START 11/16/2018, ZERO HOURS PER MONTH, ZERO DURING TRADING, LLC FOR PRIVATE INVESTMENT.; EMPIRE RAILCAR, INV RELATED, DESERT HOT SPRINGS, 100% OWNERSHIP, START: 1/2/2014, 0 HRS/MONTH, 0 HRS DURING TRADING. FINNEY FOUNDATION; NOT INV. RELATED; DELAWARE,OH; 100% OWNERSHIP; START DATE 12/15/2021; NUMBER OF HOURS PER MONTH 1; NUMBER OF HOURS DURING TRADING 1; ISSUING GRANTS TO VARIOUS CHARITIES. LIBERTY 2040 COMMUNITY COMMITTEE; NOT INV. RELATED; POWELL, OH; COMMITTEE MEMBER; START DATE: 2/2021; 5 HRS PER MONTH; 0 HRS DURING TRADING; DUTIES: ATTEND MEETINGS AND DISCUSS BIKEWAYS AND OPEN SPACES, ADDITIONAL YOUTH PROGRAMS AND ACTIVE RECREATIONAL RESOURCES. LOCUST GROVE DAWGS LLC; INV RELATED; DELAWARE, OH; PASSIVE RENTAL BUSINESS;34% OWNERSHIP; START DATE: 12/01/2025; 1 HRS PER MONTH; 0 HRS DURING TRADING; |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2003-05-01 |
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