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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 | 2019-05-07 |
| CO | RA | APPROVED | 2019-05-06 |
Branch Locations
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. | Denver | CO | 07/1989 | 05/2019 |
| Wells Fargo Clearing Services Llc | Colorado Springs | CO | 05/2019 | Present |
TRUSTEE FOR SISTER'S TRUST, INV RELATED, LAKEWOOD, CO, START: 5/10/2021, LESS THAN 1 HR/MONTH, LESS THAN 1 HR DURING TRADING.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1994-02-08 |
| S63 | Uniform Securities Agent State Law Examination | 1986-10-29 |
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