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One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2023-11-30 |
| VT | RA | APPROVED | 2019-12-16 |
Branch Locations
Bradenton , FL • United States
1605 Main St 12Th & 14Th Fls, Sarasota, FL 34236 • United States
180 Battery St Ste 300, Burlington, VT 05401 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc. | Weehawken | NJ | 09/1999 | 12/2019 |
| Wells Fargo Clearing Services Llc | Burlington | VT | 12/2019 | Present |
TRUSTEE FOR BROTHER, INV RELATED, CHARLOTTE, VT, START: 12/28/2000, 0 HRS/MONTH, 0 HRS DURING TRADING.;| CO-TRUSTEE FOR SPOUSE, INV RELATED, CHARLOTTE, VT, START: 1/1/2006, 0 HRS/MONTH, 0 HRS DURING TRADING.;| TRUSTEE FOR BROTHER, INV RELATED, CHARLOTTE, VT, START: 1/1/2016, LESS THAN 1 HR/MONTH, 0 HRS DURING TRADING.;| TRUSTEE FOR BROTHER, INV RELATED, BURLINGTON, VT, START: 1/15/2022, LESS THAN 1 HR MONTH, LESS THAN 1 HR DURING TRADING.| ALLEN STILES REVOCABLE TRUST; INV RELATED; WYCKOFF, NJ; SUCCESSOR TRUSTEE; START DATE 03/31/2025; 1 HOUR PER MONTH; 0 HOURS DURING TRADING
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2010-02-17 |
| S63 | Uniform Securities Agent State Law Examination | 1980-09-09 |
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