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1200 Harbor Boulevard, Weehawken, NJ 07086 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| ID | RA | APPROVED | 2025-05-19 |
| CA | RA | APPROVED | 2006-08-12 |
| TX | RA | APPROVED_RES | 2006-08-12 |
Branch Locations
1200 Prospect Street Suite 100, La Jolla, CA 92037 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Piper Jaffray & Co | La Jolla | CA | 04/2004 | Present |
| Ubs Financial Services Inc. | Lajolla | CA | 08/2006 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2004-11-17 |
| S63 | Uniform Securities Agent State Law Examination | 1992-03-19 |
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