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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 |
|---|---|---|---|
| NY | RA | APPROVED | 2026-07-08 |
| TX | RA | APPROVED | 2026-07-08 |
Branch Locations
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 | New York | NY | 11/2013 | 07/2026 |
| Wells Fargo Clearing Services, Llc ( | Woodbury | NY | 07/2026 | Present |
1. Hon. P. J. K. Acting Surrogate Queens County Surrogate's Court, To distribute the assets of the deceased estate to his heirs, Queens New York United States-11435, I will act as the executor/administrator of his estate, start date-6/25/2024. 2. S.R and A.H Revocable Trust, trust to hold clients assets, CommackNew York United States-11725, I have been name as one of two potential successor trustees. I am not currently a trustee, START DATE-7/8/2024. COURT APPOINTED ADMINISTRATOR; INV RELATED;QUEENS,NY; TEND TO THE ESTATE OF A DECEASED UNCLE ; THE ESTATE OF WILLIAM B KASSERMAN; START DATE: 7/1/2025; 12 HRS PER MONTH; 0 HRS DURING TRADING; SANDRA AND ARNOLD HOLTZMAN FAMILY TRUST; INV RELATED;COMMACK,NY; TO BE A TRUSTEE ON THEIR LIVING TRUST; TRUSTEE/CO-TRUSTEE; START DATE: 1/1/2029; 1 HRS PER MONTH; 0 HRS DURING TRADING;
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2021-05-03 |
| S63 | Uniform Securities Agent State Law Examination | 1984-09-14 |
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