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1200 Harbor Boulevard, Weehawken, NJ 07086 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2023-01-05 |
| TX | RA | APPROVED_RES | 2022-07-26 |
| CT | RA | APPROVED | 2020-08-30 |
Branch Locations
8 Wright Street, Westport, CT 06880-4701 • United States
600 Washington Blvd 9Th Floor, Stamford, CT 06901 • 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 |
|---|---|---|---|---|
| Citi | Tarrytown | NY | 05/2012 | 10/2016 |
| Raymond James & Associates, Inc. | Greenwich | CT | 10/2016 | 07/2020 |
| Ubs Financial Services Inc. | Westport | CT | 07/2020 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2008-12-16 |
| S63 | Uniform Securities Agent State Law Examination | 1995-10-10 |
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