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1200 Harbor Boulevard, Weehawken, NJ 07086 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CT | RA | APPROVED | 2022-10-03 |
| TX | RA | APPROVED_RES | 2022-10-03 |
Branch Locations
One State Street Suite 1600, Hartford, CT 06103 • 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 | Farmington | CT | 04/2012 | 09/2022 |
| Bank Of America, N.A. | Farmington | CT | 08/2012 | 09/2022 |
| Ubs Financial Services, Inc. | Hartford | CT | 09/2022 | Present |
I*132456 For profit or not for profit: For-Profit Organization Name of outside business organization: Every Dog Deserves a Home Investment related: N Address of business: Farmington, Connecticut 06032 Nature of business: Sole Proprietorship Position, title, association: Start date of relationship: 8/6/2020 Number of hours devoted: 4 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: My 10-year old son wanted to create and sell wristbands to help raise money for a dog shelter. He will be operating the "business" and keeping half of the proceeds, with the other half going to the shelter. I will not be taking any compensation.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2012-06-07 |
| S63 | Uniform Securities Agent State Law Examination | 2005-07-29 |
| S65 | Uniform Investment Adviser Law Examination | 2001-06-16 |
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