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One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| WA | RA | APPROVED | 2025-05-07 |
| AZ | RA | APPROVED | 2025-04-25 |
| TX | RA | APPROVED_RES | 2025-04-25 |
Branch Locations
555 110Th Ave Ne 10Th Fl, Bellevue, WA 98004 • United States
Scottsdale, AZ • 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 |
|---|---|---|---|---|
| Ubs Financial Services Inc | Bellevue | WA | 02/2009 | 04/2025 |
| Wells Fargo Clearing Services, Llc | Bellevue | WA | 04/2025 | Present |
RIVIERA 6000 LLC; INV RELATED;SCOTTSDALE,AZ; YACHT CHARTER RENTAL BUSINESS;100% OWNERSHIP; START DATE: 7/15/2026; 8 HRS PER MONTH; 0 HRS DURING TRADING; YACHT RENTAL; INV RELATED;SAN DIEGO ,CA; RENTAL;100% OWNERSHIP; ; START DATE: 07/15/2026; 8 HRS PER MONTH; 0 HRS DURING TRADING;
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1998-01-05 |
| S63 | Uniform Securities Agent State Law Examination | 1993-10-07 |
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