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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2021-01-21 |
| NC | RA | APPROVED | 2018-03-08 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services, Inc. | Raleigh | NC | 09/2016 | 03/2018 |
| The Frank Maselli Company, Inc. | Raleigh | NC | 12/1996 | Present |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Raleigh | NC | 03/2018 | Present |
| University Of North Carolina Greensboro | Greensboro | NC | 01/2016 | 03/2018 |
Officer of The Frank Maselli Company, Inc. The company does not handle investments but does provide sales training for the financial industry and publishes sales and marketing materials. Raleigh, NC; Title - VP and Office Manager, started 12/1996; work approximately 10-15 hours a week on the business in the evening and on weekend on bookkeeping and accounting. No hours devoted during security trading hours.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2017-03-30 |
| S65 | Uniform Investment Adviser Law Examination | 1995-10-30 |
| S63 | Uniform Securities Agent State Law Examination | 1992-02-04 |
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