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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 |
|---|---|---|---|
| NH | RA | APPROVED | 2020-10-26 |
| CT | RA | APPROVED | 2017-12-14 |
| TX | RA | APPROVED | 2017-08-18 |
Branch Locations
138 Conant St 4Th Fl, Beverly, MA 01915 • United States
North Andover, MA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc. | Boston | MA | 04/1986 | 08/2017 |
| Wells Fargo Clearing Services Llc | Chelmsford | MA | 08/2017 | Present |
POWER OF ATTORNEY FOR FATHER, INV RELATED, ORANGE CITY, FL, START: 5/24/2024, 12 HOURS PER MONTH, 1 HOUR DURING TRADING.; TRUSTEE FOR FATHER, INV RELATED, ORANGE CITY, FL, START: 5/20/2024, 12 HOURS PER MONTH, 1 HOUR DURING TRADING.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2017-12-13 |
| S63 | Uniform Securities Agent State Law Examination | 1986-07-30 |
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