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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| VA | RA | APPROVED | 2023-05-17 |
| TX | RA | APPROVED_RES | 2023-05-16 |
Branch Locations
8010 Towers Crescent Drive 4Th Floor, Vienna, VA 22182 • United States
Middleburg, VA • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc | Washington | DC | 11/2008 | 05/2023 |
| Rbc Capital Markets, Llc | Mclean | VA | 05/2023 | Present |
THE MALCOLM GORDON CHARITABLE TRUST/OPEN SPACE INSTITUTE, INC. "TRUSTEE". (2) Name of Entity: 21896 Pot House Road Non-Investment related Address of Entity: 21896 Pot House Road Middleburg, VA 20117 Nature of OBA: Renting cottages on our property Position/Title/Relationship: Owner - Passive Projected start date: 06/28/18 Time devoted: 4 hours on weekends; 0 during securities trading hours Duties: Miscellaneous chores and tasks
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1992-06-25 |
| S63 | Uniform Securities Agent State Law Examination | 1980-05-13 |
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