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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 |
|---|---|---|---|
| OH | RA | APPROVED | 2022-11-28 |
Branch Locations
30050 Chagrin Blvd Ste 150, Pepper Pike, OH 44124 • 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. | Beachwood | OH | 06/1993 | 11/2022 |
| Wells Fargo Clearing Services, Llc | Pepper Pike | OH | 11/2022 | Present |
OHIO BROACH & MACHINE CO; NOT INV. RELATED; WILLOUGHBY, OH; INDUSTRIAL; 4% OWNERSHIP.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-12-15 |
| S63 | Uniform Securities Agent State Law Examination | 1984-06-13 |
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