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1200 Harbor Boulevard, Weehawken, NJ 07086 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2024-08-26 |
| FL | RA | APPROVED | 2024-05-13 |
| ME | RA | APPROVED | 2023-06-23 |
Branch Locations
Scituate, MA • United States
One Post Office Square 35Th Floor, Boston, MA 02109 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Mfs Fund Distributors, Inc. | Boston | MA | 10/2012 | 09/2019 |
| First Republic Securities Company, Llc | Boston | MA | 09/2019 | 06/2023 |
| First Republic Investment Management, Inc. | Boston | MA | 09/2019 | 12/2022 |
| First Republic Investment Managementy, Inc. | Boston | MA | 01/2023 | 06/2023 |
| Ubs Financial Services, Inc. | Boston | MA | 06/2023 | Present |
Name: Corey C. Griffin Foundation Address: 205 Newbury Street, Ste. 410, Framingham, MA 01701 Investment-related: No Nature of the business: Youth initiatives including education, healthcare and personal growth Role: Board Member Start Date: 02/01/2020 Description of duties: Co-Chair Number of hours each month: 10 Number of hours during trading: 0
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2020-11-20 |
| S63 | Uniform Securities Agent State Law Examination | 2012-09-06 |
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