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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2021-10-27 |
| CA | RA | APPROVED | 2021-06-18 |
Branch Locations
345 California Street, San Francisco, CA 94104-2642 • United States
Daly City, CA • 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 |
|---|---|---|---|---|
| Ubs Financial Services Inc. | San Francisco | CA | 06/2014 | 01/2020 |
| Wells Fargo Clearing Services, Llc | San Francisco | CA | 01/2020 | 06/2021 |
| Rbc Capital Markets, Llc | San Francisco | CA | 06/2021 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2003-06-18 |
| S63 | Uniform Securities Agent State Law Examination | 1991-10-30 |
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