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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2023-04-03 |
| CA | RA | APPROVED | 2023-03-29 |
Branch Locations
4350 La Jolla Village Drive Suite 1000, San Diego, CA 92122 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc | Atlanta | GA | 05/2014 | 03/2018 |
| Wells Fargo Clearing Services, Llc | Irvine | CA | 03/2018 | 03/2018 |
| Morgan Stanley | San Diego | CA | 03/2023 | Present |
| Ubs Financial Services | San Diego | CA | 03/2018 | 03/2023 |
*570289- Exit Planning Institute; Investment related -No; Westlake, Ohio; Education; Board Member (proprietor, partner, officer, director, employee, trustee, agent); 10/2023; During business hours: 5; After business hours: 0; Marketing
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1993-09-08 |
| S63 | Uniform Securities Agent State Law Examination | 1993-04-21 |
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