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1200 Harbor Boulevard, Weehawken, NJ 07086 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NJ | RA | APPROVED | 2023-08-15 |
| FL | RA | APPROVED | 2023-05-31 |
| NY | RA | APPROVED | 2021-10-26 |
| TX | RA | APPROVED_RES | 2011-11-16 |
Branch Locations
400 South Salina St Suite 402, Syracuse, NY 13202 • United States
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 | Syracuse | NY | 04/2009 | Present |
1) Rivertime LLC/ Manlius, NY, 13104 US/ investment related?: yes/ Real Estate/ Only for purchase of primary residence/ Partner/ start date: 8/1/2020 2) A.M.A. Revocable Trust 2/08/1993, Trust was drawn up for estate planning purposes in 1993. Activities will be to carry out the requirements and intentions dictated by trust document. Anticipated portfolio management is expected to continue as it has since 1993. There will be no known changes other than (my brother) has passed as of July 14, 2020, Co Trustee, It is important to the family that I am Co Trustee, and that prior to A.L. passing I was (and have always been) their Financial Advisor and wish to remain so. My Line Manager is aware of the relationship and family loss and supports that I continue as FA. Accounts in the household relationship are not commission based and are professionally managed within all UBS parameters, Start date-9/14/2020, Massachusetts United States-01950.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2006-02-01 |
| S63 | Uniform Securities Agent State Law Examination | 1985-11-26 |
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