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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 |
|---|---|---|---|
| FL | RA | APPROVED | 2024-12-16 |
| TX | RA | APPROVED_RES | 2024-12-13 |
| NJ | RA | APPROVED | 2024-12-12 |
Branch Locations
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 |
|---|---|---|---|---|
| Ubs Financial Services Inc | Paramus | NJ | 05/2010 | 12/2024 |
| Wells Fargo Clearing Services, Llc | Paramus | NJ | 12/2024 | Present |
TBDD, LLC; NOT INV RELATED; KINNELON, NJ; 66% OWNERSHIP; 01/2014; 1 HOUR PER MONTH; 0 DURING TRADING; AN INACTIVE LLC | 3)KINNELON ICE HOCKEY CLUB / 43 TOWER HILL LANE KINNELON,NJ 07405 / / ICE HOCKEY CLUB / MEMBER OF BOARD OF DIRECTORS / COACHING HOCKEY, ORGANIZING SUMMER CAMP / START DATE 8/1/2014
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1995-07-25 |
| S63 | Uniform Securities Agent State Law Examination | 1991-06-14 |
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