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1200 Harbor Boulevard, Weehawken, NJ 07086 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| OH | RA | APPROVED | 2021-10-07 |
Branch Locations
180 Market St. Ste. 200, New Albany, OH 43054 • United States
5007 Horizons Drive, Columbus, OH 43220 • United States
Columbus, OH • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Dublin | OH | 05/2003 | 11/2016 |
| Wells Fargo Clearing Services Llc | Dublin | OH | 11/2016 | 09/2021 |
| Ubs Financial Services Inc | Columbus | OH | 09/2021 | Present |
NOTARY PUBLIC, NOT INV RELATED, COLUMBUS, OH. START: 5/01/17, LESS THAN 1 HOUR/MONTH, 0 DURING TRADING, NOTARIZE DOCUMENTS. POWER OF ATTORNEY FOR MOTHER; INV. RELATED; COLUMBUS, OH; START DATE 9/2017; 1 HR PER MONTH; 1 HR DURING TRADING.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2005-07-06 |
| S63 | Uniform Securities Agent State Law Examination | 1996-08-12 |
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