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One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2024-05-15 |
| TX | RA | APPROVED_RES | 2018-07-02 |
| CA | RA | APPROVED | 2018-06-29 |
Branch Locations
520 Newport Center Dr Ste 1700, Newport Beach, CA 92660 • United States
Newport Beach, CA • United States
Sarasota, FL • United States
1605 Main St 12Th & 14Th Fls, Sarasota, FL 34236 • United States
2 disclosure categories 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. | Newport Beach | CA | 07/2010 | 06/2018 |
| Wells Fargo Clearing Services, Llc | Newport Beach | CA | 06/2018 | Present |
ZEPHYR COVE ASSOCIATES, LLC, INVT RELATED, NEWPORT BEACH, CA, 100% OWNERSHIP, START DATE 2/2/2016, 1 HR PER MONTH, 1 HR DURING TRADING, REVIEWING PROPERTIES FOR PURCHASE.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1993-11-06 |
| S63 | Uniform Securities Agent State Law Examination | 1993-07-10 |
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