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1200 Harbor Boulevard, Weehawken, NJ 07086 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2025-07-14 |
Branch Locations
17180 Bernardo Center Drive Suite 100, San Diego, CA 92128 • United States
12220 El Camino Real Suite 400, San Diego, CA 92130 • United States
12220 El Camino Real Suite 400, San Diego, CA 92130 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | San Diego | CA | 10/2019 | 10/2024 |
| Bank Of America Private Bank | San Diego | CA | 08/2007 | 10/2019 |
| Ubs Financial Services Inc. | San Diego | CA | 07/2025 | Present |
| Northern Trust | San Diego | CA | 02/2025 | 07/2025 |
| Unemployed | San Diego | CA | 10/2024 | 02/2025 |
I*8153 For profit or not for profit: Name of outside business organization: Carlo Barbara and DeAnne Steele Family Trust Investment related: Address of business: tbd, California 92694 Nature of business: , Position, title, association: , Start date of relationship: 7/1/2019 Number of hours devoted: 1 hour(s) Number of hours devoted during trading hours: 0 Duties:
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2019-05-20 |
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