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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 |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2020-08-13 |
| HI | RA | APPROVED | 2018-03-02 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc. | Honolulu | HI | 09/2012 | 03/2018 |
| Wells Fargo Clearing Services, Llc | Honolulu | HI | 03/2018 | Present |
RENTAL PROPERTY, INV RELATED, HONOLULU, HI, 50% OWNERSHIP WITH SPOUSE, START, 1/1/2000, 5 HOURS PER MONTH, ZERO DURING TRADING, LANDLORD.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1995-02-04 |
| S63 | Uniform Securities Agent State Law Examination | 1983-01-11 |
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