Best Investors
Account
Sign in
200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2023-12-14 |
| NY | RA | APPROVED | 2021-08-06 |
| CT | RA | APPROVED | 2020-06-05 |
Branch Locations
285 Riverside Avenue Suite 335, Westport, CT 06880 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc. | New York | NY | 05/2012 | 06/2020 |
| Rbc Capital Markets, Llc | New York | NY | 06/2020 | 10/2020 |
| Rbc Capital Markets, Llc | Westport | CT | 10/2020 | Present |
1) Name: Littauer Foundation Address: 220 5th Ave, New York, NY 10001 Business Description: Charitable nonprofit Business is not investment related Projected Start Date: 06/15/90 Capacity: Director Duties Performed: Attend annual meetings and evaluate grant applications (e.g., Jewish philanthropy, Jewish scholarship public health) Devoted to this OBA per Month: 1 Hours Devoted to this OBA during business hours: 0 2) Name: Blue Card Inc. Address: 171 Madison Avenue, New York, NY 10016 Business Description: Philanthropic organization that gives grants to indigent Holocaust survivors Business is not investment related Projected Start Date: 06/15/90 Capacity: Board of Directors Duties Performed: No duties. Only honorary title. Devoted to this OBA per Month: 0 Hours Devoted to this OBA during business hours: 0
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2006-07-11 |
| S65 | Uniform Investment Adviser Law Examination | 1994-04-25 |
| S63 | Uniform Securities Agent State Law Examination | 1985-01-14 |
Reach out to this advisor