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1200 Harbor Boulevard, Weehawken, NJ 07086 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2019-07-02 |
| TX | RA | APPROVED | 2019-07-02 |
Branch Locations
1255 Treat Blvd Suite 1000, Walnut Creek, CA 94597 • United States
Scottsdale, AZ • 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 |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Walnut Creek | CA | 10/2009 | 07/2019 |
| Bank Of America, N.A. | Walnut Creek | CA | 05/2011 | 07/2019 |
| Ubs Financial Services Inc. | Walnut Creek | CA | 07/2019 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-11-04 |
| S63 | Uniform Securities Agent State Law Examination | 1999-09-30 |
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