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1200 Harbor Boulevard, Weehawken, NJ 07086 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MD | RA | APPROVED | 2022-10-10 |
| TX | RA | APPROVED | 2022-10-10 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lake Placid Marketing Llc | Arnold | MD | 09/2012 | 07/2017 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Baltimore | MD | 07/2017 | 10/2022 |
| Bank Of America, N.A. | Baltimore | MD | 12/2017 | 10/2022 |
| Ubs Financial Services Inc. | Baltimore | MD | 10/2022 | Present |
I*129601 For profit or not for profit: Non-Profit Organization Name of outside business organization: Maryland Association of General Contractors Investment related: N Address of business: Lutherville, Maryland 21093 Nature of business: Other, Committee to raise funds for event/charity Position, title, association: Committee Member, Start date of relationship: 1/1/2020 Number of hours devoted: 5 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: Short term engagement. Only require 1-2 hours per week.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2017-09-20 |
| S63 | Uniform Securities Agent State Law Examination | 2012-08-16 |
| S65 | Uniform Investment Adviser Law Examination | 1994-10-05 |
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