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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NE | RA | APPROVED | 2025-06-05 |
| TX | RA | APPROVED | 2025-06-04 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc | Omaha | NE | 12/2008 | 05/2021 |
| Wells Fargo Clearing Services, Llc | Omaha | NE | 05/2021 | 06/2024 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Omaha | NE | 06/2024 | Present |
| Bank Of America, N.A. | Omaha | NE | 07/2025 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1994-06-28 |
| S63 | Uniform Securities Agent State Law Examination | 1991-07-24 |
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