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85 Broad Street 22Nd Floor, New York, NY 10004 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2018-02-16 |
| WA | RA | APPROVED | 2003-01-03 |
Branch Locations
500 108Th Avenue Ne Suite 2100, Bellevue, WA 98004 • United States
Chelan, WA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Fahnestock & Co. Inc. | New York | NY | 01/2003 | Present |
1.SBAB LLC WAS ESTABLISHED SOLELY TO HOLD MY PERSONAL BOAT TITLE.THERE ARE NO OTHER MEMBERS OR OUTSIDE INVESTMENTS. I DEVOTE LESS THAN 1 HOUR PER YEAR TO THIS LLC.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1996-05-22 |
| S63 | Uniform Securities Agent State Law Examination | 1981-08-19 |
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