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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 |
|---|---|---|---|
| CT | RA | APPROVED | 2019-05-21 |
| TX | RA | APPROVED | 2019-05-08 |
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 | Westport | CT | 05/2008 | 05/2019 |
| Wells Fargo Clearing Services Llc | Westport | CT | 05/2019 | Present |
THE WESTPORT REPUBLICAN TOWN COMMITTEE DISTRICT 8; NOT INV. RELATED; WESTPORT, CT; COMMITTEE MEMBER; START DATE 1/2024; 1-2 HOURS PER MONTH; 0 HOURS DURING BUSINESS; DUTIES: SELECTING THE BEST CANDIDATES TO RUN FOR PUBLIC OFFICE AND PROVIDING ASSISTANCE TO THE CANDIDATES IN ELECTING THEM TO OFFICE. POWER OF ATTORNEY FOR MOTHER; INV. RELATED; NEW BRIAIN, CT; START DATE 5/2020; 1 HR PER MONTH; 0 HRS DURING TRADING. ST LUKE CATHOLIC CHURCH; NOT INV. RELATED; WESTPORT, CT; FINANCE COMMITTEE MEMBER; START DATE 3/1/2024; 2 HOURS BI-MONTHLY; 0 HOURS DURING BUSINESS HOURS; DUTIES: REVIEWING PARISH FINANCES.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1991-11-05 |
| S63 | Uniform Securities Agent State Law Examination | 1985-11-20 |
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