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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 |
|---|---|---|---|
| NC | RA | APPROVED | 2023-08-24 |
| TX | RA | APPROVED | 2023-08-24 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc. | Ashville | NC | 03/2016 | 08/2023 |
| Wells Fargo Clearing Services, Llc | Asheville | NC | 08/2023 | Present |
SAINT PAUL VINEYARDS, INV RELATED, HENDERSONVILLE, NC, 100% OWNERSHIP, START DATE 3/3/2008, 10 HOURS PER MONTH, 0 DURING TRADING, OWNER. SAINT PAUL FARMS, INV RELATED, HENDERSONVILLE, NC, 100% OWNERSHIP, START DATE 3/23/2023, 10 HOURS PER MONTH, 0 DURING TRADING, OWNER.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1990-04-20 |
| S63 | Uniform Securities Agent State Law Examination | 1986-02-14 |
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