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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 |
|---|---|---|---|
| NC | RA | APPROVED | 2022-10-05 |
| NY | RA | APPROVED | 2021-07-27 |
| NJ | RA | APPROVED | 2017-07-06 |
| TX | RA | APPROVED | 2017-07-06 |
Branch Locations
1200 Pittsford Victor Rd Ste 100, Pittsford, NY 14534 • United States
Waxhaw, NC • United States
15801 Brixham Hill Ave Ste 100, Charlotte, NC 28277 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc | Rochester | NY | 05/2016 | 06/2017 |
| Wells Fargo Clearing Services Llc | Rochester | NY | 06/2017 | Present |
THREE POINT CONSULTING, INV. RELATED, HONEOYE FALLS, N.Y. 100% OWNERSHIP, START: 9/8/17, 10 HOURS/MONTH, 0 DURING TRADING, ADMINISTRATIVE/BOOKKEEPING SERVICES.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2016-05-07 |
| S63 | Uniform Securities Agent State Law Examination | 2009-10-23 |
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