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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 |
|---|---|---|---|
| CT | RA | APPROVED | 2021-12-02 |
| CO | RA | APPROVED | 2021-11-03 |
| NH | RA | APPROVED | 2021-09-20 |
| TX | RA | APPROVED | 2021-09-20 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc. | Andover | MA | 04/2013 | 09/2021 |
| Wells Fargo Clearing Services, Llc. | Manchester | NH | 09/2021 | Present |
THE RUNNING MAN COURIER SERVICE, LLC; NOT INV. RELATED; NASHUA,NH; 100% OWNERSHIP BY SPOUSE; START DATE 09/28/2021; NUMBER OF HOURS PER MONTH 0; NUMBER OF HOURS DURING TRADING 0; TRUCKING COMPANY.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2009-11-06 |
| S63 | Uniform Securities Agent State Law Examination | 2003-12-08 |
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