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1200 Harbor Boulevard, Weehawken, NJ 07086 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CO | RA | APPROVED | 2013-08-02 |
| TX | RA | APPROVED | 2009-08-10 |
| MO | RA | APPROVED | 2009-04-24 |
Branch Locations
4622 Pennsylvania Avenue 8Th Floor, Kansas City, MO 64112 • United States
Basalt, CO • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc | Kansas City | MO | 04/2009 | Present |
1) ROARING FORK CLUB, LLC / 24398 HIGHWAY 82 BASALT,COLORADO 81621 /SPORT & LEISURE FACILITIES / MEMBER OF BOARD OF DIRECTORS / QUARTERLY BOARD MEETINGS PLUS OTHERS AS NEEDED / START DATE 7/7/2014 /// 2) The BMF & DMPT Partnership; 6225 Overhill Road, Mission Hills, Kansas 66208; Partnership; Other; Partnership formed for the purpose of making an investment in a private equity fundPartnership formed for the purpose of making an investment in a private equity fund; Partner; Having tax return prepared; Start date: 11/1/2021 3) Roaring Fork Club Water & Sewer Company, BasaltColorado, United States-81621, Water and Sewer company serving a private club, Utilities (Electricity, Gas Distribution, Water), Captive water and sewer company for private club, Member of Board of directors, Attend board meetings, start date-11/1/2024
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2009-05-26 |
| S63 | Uniform Securities Agent State Law Examination | 1981-04-17 |
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