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1200 Harbor Boulevard, Weehawken, NJ 07086 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2017-05-09 |
| CA | RA | APPROVED | 2017-05-05 |
Branch Locations
888 San Clemente Drive Suite 300, Newport Beach, CA 92660 • 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 | Seal Beach | CA | 11/1993 | 05/2017 |
| Bank Of America, Na | Seal Beach | CA | 09/2009 | 05/2017 |
| Ubs Financial Services Inc | Seal Beach | CA | 05/2017 | Present |
1) Name of Business: Newport Coast Ca Rental Condo./ Address: United States./ Nature: Residential Rental Property./ Role: Proprietor / owner./ Duty: Landlord/Owner, start date-5/28/2018
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1994-08-02 |
| S63 | Uniform Securities Agent State Law Examination | 1993-05-21 |
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