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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2019-03-26 |
Branch Locations
345 California Street, San Francisco, CA 94104-2642 • United States
San Anselmo, CA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Securities Llc | San Francisco | CA | 07/2015 | 02/2018 |
| Rbc Capital Markets, Llc. | San Francisco | CA | 02/2019 | Present |
| Unemployed | San Francisco | CA | 03/2018 | 02/2019 |
NAME OF ENTITY: Invest for Better ADDRESS: INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Educational organization / non profit CAPACITY: Other START DATE: 03/21/22 DUTIES: Please see the attached form for potential ways I can be involved as a pathfinder. I do not need to be involved in all of those ways, and if I am invited to speak in some capacity I understand that those speaking engagements would be subject to separate approval. HOURS DEVOTED PER MONTH: 1 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 (2_ NAME OF ENTITY: Physicians For Social Responsibility Inc ADDRESS: 1930 18th St NW Ste B2 PMB 2338, Washington, DC 20009 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Foundation/Charitable Institution START DATE: Apr 10, 2026 CAPACITY: Board of Directors DUTIES: Board member, finance committee, strategic direction, financial oversight HOURS DEVOTED PER MONTH: 2 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2019-03-26 |
| S63 | Uniform Securities Agent State Law Examination | 2008-05-12 |
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