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1200 Harbor Boulevard, Weehawken, NJ 07086 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2019-08-30 |
| TX | RA | APPROVED_RES | 2019-08-30 |
Branch Locations
2 Belvedere Place Suite 220, Mill Valley, CA 94941 • 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 |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Mill Valley | CA | 03/2000 | 08/2019 |
| Bank Of America,N.A. | Mill Valley | CA | 06/2011 | 08/2019 |
| Ubs Financial Services Inc. | Marin County | CA | 08/2019 | Present |
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2000-04-07 |
| S65 | Uniform Investment Adviser Law Examination | 1994-06-23 |
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