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Current Employers
Moors & Cabot, Inc.

One Federal Street 19Th Floor, Boston, MA 02110 • United States

Current Registrations

AuthorityCategoryStatusDate
CT RA APPROVED 2019-10-25
  • CT RA
    APPROVED
    Since 2019-10-25

Branch Locations

1720 Post Road East Suite 110, Westport, CT 06880 • United States

Seafoam Village 2800 Placida Rd Unit 103, Englewood, FL 34224 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Ubs Financial Services Inc. Stamford CT 04/2013 10/2019
Moors & Cabot Westport CT 10/2019 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2013-06-14
  • S66 Uniform Combined State Law Examination
    2013-06-14

View on SEC IAPD

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