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1200 Harbor Boulevard, Weehawken, NJ 07086 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IN | RA | APPROVED | 2024-01-31 |
| TX | RA | APPROVED_RES | 2015-01-27 |
| ME | RA | APPROVED | 2011-07-15 |
| FL | RA | APPROVED | 2002-08-28 |
Branch Locations
1 Independent Drive 30Th Floor, Jacksonville, FL 32202 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc. | Jacksonville | FL | 08/2002 | Present |
1) UNDERBELLY PRODUCTIONS INC. / 113 EAST BAY STREET JACKSONVILLE, FLORIDA 32202 / SOLE PROPRIETORSHIP / HOTELS, BREWERIES, PUBS & RESTAURANTS / LIVE MUSIC VENUE / PARTNER /PASSIVE / START DATE 03/22/2012. 2) James H. Winston, Jr. Irrv TR James H. Winston, Jr.,Charles Winston,Jr,F Beard,R.Winston DTD 09/19/2018/ investment related?:yes / 1455 Ocean Dr., Apt 802, Miami Beach, FL 33139 US/trust / I will provide advisory services to manage these assets to meet Mr. Winston's and the Trust's investment goals./ start date: 1/1/2020/ time reqd during working hours?: yes 3) Mary McKimmon Winston Irr Tr Mary M Winston, Charles Winston, Jr,F. Beard,R.WinstonTTEES 9/19/18/ investment related?:yes / 5053 Oxford Rd, Longmont, CO 80503 US/ Trust / Advising, designing and implementing investment plan to meet the goals of the beneficiary./start date?: 1/1/2020 / time reqd during working hours?: yes/ 4) Leo Maxwell Mason Educational Trust/ investment related?: yes/ 5053 Oxford Rd, Longmont, Clorado, 80503 US/ Make sure the terms are followed/ Provide educational funds/ start date:10/13/2018 5) The Winston Family Foundation, A private family foundation with 4 trustees, Jacksonville FloridaUnited States-32202, 1 of 4 trustees charged with managing the affairs of the foundation, start date-9/19/2018 6)The Hollyknowe Inc,FL United States , Charity , President of the foundation , Member of Board of directors managing the affairs of the foundation ,Start date 5/1/2026
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1993-07-01 |
| S63 | Uniform Securities Agent State Law Examination | 1991-04-11 |
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