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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 |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2026-01-21 |
| NY | RA | APPROVED | 2026-01-20 |
Branch Locations
2430 N Triphammer Rd Ste A, Ithaca, NY 14850 • United States
5520 State Highway 7, Oneonta, NY 13820 • United States
519 Columbia Dr, Johnson City, NY 13790 • United States
100 W Waters St, Elmira, NY 14901 • United States
4 Tower Pl Fl 9, Albany, NY 12203 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc. | New York | NY | 10/2014 | 01/2026 |
| Wells Fargo Clearing Services, Llc | Ithaca | NY | 01/2026 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2013-03-30 |
| S66 | Uniform Combined State Law Examination | 2008-01-16 |
| S63 | Uniform Securities Agent State Law Examination | 2006-08-12 |
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