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1200 Harbor Boulevard, Weehawken, NJ 07086 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| KS | RA | APPROVED | 2023-01-06 |
| TX | RA | APPROVED_RES | 2013-10-15 |
| WA | RA | APPROVED | 2006-08-12 |
Branch Locations
1145 Broadway Suite 1400, Tacoma, WA 98402-3503 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Piper Jaffray Inc. | Tacoma | WA | 11/1994 | Present |
| Ubs Financial Services Inc. | Tacoma | WA | 08/2006 | Present |
YMCA of Pierce and Kitsap County; 4717 S 19th St #201, Tacoma, WA; Charity; Assisting with overview of Endowment Investments; Advisor or advisory group member if advice given may influence an officer/board; Analyze Investment needs and portfolio; Start date: 2020-03-02
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1995-02-08 |
| S63 | Uniform Securities Agent State Law Examination | 1995-02-01 |
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