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1200 Harbor Boulevard, Weehawken, NJ 07086 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2005-01-18 |
| CA | RA | APPROVED | 2001-08-27 |
Branch Locations
400 S. El Camino Real Suite 900, San Mateo, CA 94402 • United States
S. Lake Tahoe, CA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc. | San Mateo | CA | 07/2001 | Present |
10th Mt. Div. Foundation, Inc. / 133 South Van Gordon St., Ste. 200 Lakewood,CO 80228 / Foundation/ Other military memorials / maintenance of memorials / Advisor or member of an advisory committee, if the advice given will or may influence the board or other senior management or supervisory board of the organization in question / Finance committee / Start Date 7/18/16 / Chairman of Finance committee / Start Date 6/1/2017
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1992-09-29 |
| S63 | Uniform Securities Agent State Law Examination | 1984-06-08 |
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