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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 |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2017-05-09 |
| CO | RA | APPROVED | 2017-05-05 |
Branch Locations
5613 Dtc Pkwy Ste 1000, Greenwood Village, CO 80111 • United States
Castle Pines, CO • 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 | Addison | TX | 01/2006 | 05/2017 |
| Wells Fargo Clearing Services, Llc | Greenwood Village | CO | 05/2017 | Present |
ROCKY MOUNTAIN GETAWAY LLC, INV RELATED, AVON, CO, 100% OWNERSHIP WITH SPOUSE, START DATE 7/1/2002, 2 HOURS PER MONTH, O HRS DURING BUSINESS HOURS, REPAIR AND MAINTENANCE. ROCKY MOUNTAIN GETAWAY III LLC, INV RELATED, TABERNASH, CO, 100% OWNERSHIP WITH SPOUSE, START 4/1/2017, 4 HOURS PER MONTH, ZERO DURING TRADING, PROPERTY MANAGEMENT
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2006-06-23 |
| S63 | Uniform Securities Agent State Law Examination | 1998-05-29 |
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