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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 |
|---|---|---|---|
| MT | RA | APPROVED | 2019-07-30 |
| TX | RA | APPROVED_RES | 2019-07-30 |
| NC | RA | APPROVED | 2017-10-19 |
Branch Locations
15801 Brixham Hill Ave Ste 100, Charlotte, NC 28277 • United States
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 | Charlotte | NC | 12/2008 | 09/2017 |
| Wells Fargo Clearing Services, Llc | Charlotte | NC | 09/2017 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1997-10-08 |
| S63 | Uniform Securities Agent State Law Examination | 1996-07-02 |
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