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1200 Harbor Boulevard, Weehawken, NJ 07086 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2025-02-14 |
| TX | RA | APPROVED | 2024-01-30 |
| CA | RA | APPROVED | 2023-10-12 |
| AL | RA | APPROVED | 2023-07-14 |
| MI | RA | APPROVED | 2023-07-14 |
| CO | RA | APPROVED | 2023-06-09 |
| ME | RA | APPROVED | 2023-06-09 |
| NJ | RA | APPROVED | 2023-06-09 |
| WA | RA | APPROVED | 2022-09-06 |
| NV | RA | APPROVED | 2022-09-02 |
Branch Locations
925 Fourth Avenue 31St & 32Nd Floor, Seattle, WA 98104 • United States
4600 S. Ulster Street -Suite 700 Metro Point One, Denver, CO 80237 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Rainier Investment Management | Seattle | WA | 03/2002 | 11/2017 |
| Manning & Napier Investor Services, Inc. | Fairport | NY | 11/2017 | 02/2018 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Bellevue | WA | 04/2018 | 08/2020 |
| Bank Of America, N.A. | Bellevue | WA | 05/2018 | 08/2020 |
| First Republic Securities Company, Llc | Bellevue | WA | 08/2020 | 08/2022 |
| First Republic Investment Management, Inc. | Bellevue | WA | 08/2020 | 08/2022 |
| Ubs Financial Services Inc. | Las Vegas | NV | 08/2022 | Present |
I*121017 For profit or not for profit: Non-Profit Organization Name of outside business organization: Kirkland Boys & Girls Club Investment related: N Address of business: Kirkland, Washington 98033 Nature of business: Charitable Organization, Position, title, association: Advisory Board Member, Start date of relationship: 8/1/2018 Number of hours devoted: 2 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: Board member -I am responsible for general advice at the board level, mostly pertaining to various types of fundraising and community outreach.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2018-02-09 |
| S65 | Uniform Investment Adviser Law Examination | 1996-03-12 |
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