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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NV | RA | APPROVED | 2017-11-15 |
| TX | RA | APPROVED_RES | 2017-11-02 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services | Las Vegas | NV | 01/2006 | 08/2017 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Henderson | NV | 09/2017 | Present |
| Bank Of America, N.A. | Henderson | NV | 11/2017 | Present |
I*3536278 Entity Type: N/A Name of OBA: R AND S TRUST Address: Henderson, Nevada, 89012 Investment Related: No Position, Title, Association: Trustee Employee Start Date: 01/14/2026 Number of Hours: 1, Yearly Number of Hours during trading: 1, Yearly Duties: Spouse
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1995-08-05 |
| S63 | Uniform Securities Agent State Law Examination | 1983-06-04 |
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