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1200 Harbor Boulevard, Weehawken, NJ 07086 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CO | RA | APPROVED | 2020-08-24 |
Branch Locations
4600 S. Ulster Street -Suite 700 Metro Point One, Denver, CO 80237 • United States
2 disclosure categories 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 | Denver | CO | 02/2002 | Present |
| Bank Of America, N.A. | Denver | CO | 09/2009 | Present |
| Ubs Financial Services | Denver | CO | 08/2020 | Present |
TOWNSEND PLACE.1206 VILLAGE ROAD B-205. AVON.CO.81620.REAL ESTATE.START DATE AUGUST 29 2007.1-20 HOURS PER MONTH. NONE DURING TRADING HOURS.NOT INVESTMENT RELATED I*80135 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: AVON CONDO INVESTMENT RELATED: Y ADDRESS OF BUSINESS: VILLAGE RD UNIT, AVON, COLORADO 81620 NATURE OF BUSINESS: OTHER,JOINT OWNERSHIP POSITION, TITLE, ASSOCIATION: OWNER, START DATE OF RELATIONSHIP: 1/2/2015 NUMBER OF HOURS DEVOTED: 1 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 1 DUTIES: RENTAL PROPERTY AND PERSONAL USE CHRIS HOWE 50%
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1996-01-15 |
| S63 | Uniform Securities Agent State Law Examination | 1994-11-21 |
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