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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 |
|---|---|---|---|
| CT | RA | APPROVED | 2020-01-28 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc. | Stamford | CT | 03/2009 | 01/2020 |
| Wells Fargo Clearing Services Llc | Old Greenwich | CT | 01/2020 | Present |
THE GREEN JACKET CLUB, NOT INVT RELATED, CANTON, GA, PRESIDENT OF BNI GROUP, START DATE 10/12/2019, 2 HRS PER MONTH, 0 HRS DURING TRADING, ATTENDING MEETINGS, ORGANIZING SOCIAL EVENTS.; EXECUTOR FOR MOTHER, INV RELATED, KEY BISCAYNE, FL, START: 8/24/2019, 1 HR/MONTH, 0 HRS DURING TRADING.; TRUSTEE FOR DAUGHTER, INV RELATED, RIVERSIDE, CT, START: 9/6/2006, 1 HR/MONTH, 0 HRS DURING TRADING.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1992-05-13 |
| S63 | Uniform Securities Agent State Law Examination | 1986-09-30 |
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