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1200 Harbor Boulevard, Weehawken, NJ 07086 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2024-11-18 |
| CT | RA | APPROVED | 2024-02-13 |
| NY | RA | APPROVED | 2023-06-01 |
Branch Locations
3 Manhattanville Road Suite 210, Purchase, NY 10577 • United States
Ridgefield, CT • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | Larchmont | NY | 05/2009 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Larchmont | NY | 11/2016 | 05/2023 |
| Ubs Financial Services Inc | White Plains | NY | 06/2023 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-12-21 |
| S63 | Uniform Securities Agent State Law Examination | 1991-01-08 |
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