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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 |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2024-12-12 |
| NJ | RA | APPROVED | 2024-12-10 |
Branch Locations
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. | Paramus | NJ | 05/2014 | 12/2024 |
| Wells Fargo Clearing Services, Llc ( | Paramus | NJ | 12/2024 | Present |
CAT Real LLC; INV RELATED; KINNELON, NJ; LLC holds rental properties that my wife and I own and manage; 100% Ownership with spouse; Start date 08/05/014; 5 hours per month; 0 hours during trading| RENTAL PROPERTY 3; INV RELATED; KINNELON, NJ; 50% OWNERSHIP; START DATE 10/23/2017; 1 HOUR PER MONTH; 0 HOURS DURING TRADING | RENTAL PROPERTY 5; INV RELATED; KINNELON, NJ; 50% OWNERSHIP; START DATE 8/21/2014; 1 HOUR PER MONTH; 0 HOURS DURING TRADING | RENTAL PROPERTY 4; INV RELATED; KINNELON, NJ; 50% OWNERSHIP; START DATE 8/21/2016; 1 HOUR PER MONTH; 0 HOURS DURING TRADING | RENTAL PROPERTY 64; INV RELATED; WEST MILFORD, NJ; 50% OWNERSHIP; START DATE 6/09/2020; 1 HOUR PER MONTH; 0 HOURS DURING TRADING | RENTAL PROPERTY 8; INV RELATED; WEST MILFORD, NJ; 50% OWNERSHIP; START DATE 1/29/2021; 1 HOUR PER MONTH; 0 HOURS DURING TRADING | RENTAL PROPERTY 155; INV RELATED; POMPTON LAKES, NJ; 50% OWNERSHIP; START DATE 10/29/2014; 1 HOUR PER MONTH; 0 HOURS DURING TRADING
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1994-09-21 |
| S65 | Uniform Investment Adviser Law Examination | 1994-09-12 |
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