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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2026-08-31 |
| NM | RA | APPROVED | 2026-08-19 |
Branch Locations
1234 Saint Michaels Dr, Santa Fe, NM 87505 • United States
425 S Telshor Blvd, Las Cruces, NM 88011 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc | Albuquerque | NM | 01/2014 | 04/2021 |
| Ubs | Navarre | FL | 04/2021 | 02/2023 |
| Osaic | Navarre | FL | 06/2023 | 05/2025 |
| Unemployed | Navarre | FL | 02/2023 | 06/2023 |
| Osaic Wealth, Inc. | Jersey City | NJ | 09/2023 | 05/2025 |
| Rbc Capital Markets. Llc | Albuquerque | NM | 05/2025 | 08/2025 |
| Ameriprise Financial Services, Llc | Albuquerque | NM | 03/2026 | 05/2026 |
| Self-Employed | Albuquerque | NM | 08/2025 | 02/2026 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Santa Fe | NM | 07/2026 | Present |
| Bank Of America, N.A. | Santa Fe | NM | 08/2026 | Present |
I*5129276, Entity Type Entity For Profit, Name of OBA: Mama Roo's Music and Media Address: Santa Fe New Mexico 87507 Investment Related: No Position, Title, Association: Owner Employee Start Date: 12/08/2025 No Hours: 10 Monthly No Hours during trading: 0 Duties: one to two weekends a month I work with festivals to assist with media and promotion. I do not make money from this endeavor. I photograph music events in my spare time. I*5127283, Entity Type, Name of OBA: Rental Property - 29-Jul-26 - 1 Address: Navarre Florida 32566 Investment Related: no Position, Title, Association: Sole owner Employee Start Date: 07/31/2026 No Hours: 5 yearly No Hours during trading: 0 Duties:
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2003-10-29 |
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