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1290 Avenue Of The Americas, New York, NY 10104 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2025-06-25 |
Branch Locations
1290 Avenue Of The Americas, New York, NY 10104 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Guggenheim Funds Distributors, Llc | New York | NY | 09/2017 | 11/2021 |
| New York University | New York | NY | 09/2015 | 08/2017 |
| Ubs Financial Services Inc | New York | NY | 11/2021 | 05/2025 |
| Neuberger Berman | New York | NY | 06/2025 | Present |
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2020-01-10 |
| S66 | Uniform Combined State Law Examination | 2012-10-19 |
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