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1200 Harbor Boulevard, Weehawken, NJ 07086 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2018-08-31 |
| WA | RA | APPROVED | 2018-08-31 |
Branch Locations
225 108Th Avenue Ne Suite 800, Bellevue, WA 98004 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Bellevue | WA | 05/1992 | 08/2018 |
| Bank Of America, Na | Bellevue | WA | 02/2010 | 08/2018 |
| Uba Financial Services Inc. | Bellevue | WA | 08/2018 | Present |
1) Name of Business: Rental Property./ Address: 8104 Frederick PlEdmonds WA United States./ Investment Related: Yes./ Nature: Rental Property./ Role: Proprietor / owner./ Duty: Collect rent, hire management company./ Start Date: 1/1/2010./ Time Required: No.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1992-07-24 |
| S63 | Uniform Securities Agent State Law Examination | 1991-12-19 |
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