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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 |
|---|---|---|---|
| NY | RA | APPROVED | 2023-07-20 |
| CT | RA | APPROVED | 2017-09-29 |
| TX | RA | APPROVED | 2017-09-29 |
Branch Locations
2500 Westchester Ave Stes 201 & 203, Purchase, NY 10577 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc | White Plains | NY | 07/2006 | 09/2017 |
| Wells Fargo Clearing Services Llc | Old Greenwich | CT | 09/2017 | Present |
POWER OF ATTORNEY FOR WIFE; INV RELATED; KATONAH, NY; ASSIST IN FINANCIAL MATTERS; POA; START DATE: 08/27/2025; 1 HRS PER MONTH; 1 HRS DURING TRADING; |
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2000-08-03 |
| S65 | Uniform Investment Adviser Law Examination | 1997-11-18 |
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