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720 East Wisconsin Avenue, Milwaukee, WI 53202-4797 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2025-08-17 |
Branch Locations
1 Battery Park Plaza Ste 3350, New York, NY 10004 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Axa Advisors, Llc | New York | NY | 02/2016 | 10/2016 |
| Ubs | Weehawken | NJ | 11/2016 | 03/2017 |
| Stifel, Nicolaus & Company, Incorporated | New York | NY | 09/2021 | 10/2024 |
| Rick Hu | New York | NY | 10/2024 | Present |
| Ubs | Weehawken | NJ | 03/2017 | 09/2021 |
| Northwestern Mutual Investment Services, Llc | New York | NY | 07/2025 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2016-05-03 |
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