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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| UT | RA | APPROVED | 2022-08-25 |
| CO | RA | APPROVED | 2019-09-24 |
| TX | RA | APPROVED_RES | 2019-09-24 |
Branch Locations
102 South Tejon Suite 460, Colorado Springs, CO 80903-2278 • United States
Park City, UT • 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 | Colorado Springs | CO | 04/2009 | 09/2019 |
| Rbc Capital Markets, Llc. | Colorado Springs | CO | 09/2019 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2001-02-15 |
| S63 | Uniform Securities Agent State Law Examination | 1982-12-28 |
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