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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 | 2022-08-11 |
Branch Locations
1800 Hughes Landing Blvd Ste 300, The Woodlands, TX 77380 • 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. | The Woodlands | TX | 05/2013 | 08/2022 |
| Wells Fargo Clearing Services, Llc | The Woodlands | TX | 08/2022 | Present |
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1994-06-22 |
| S65 | Uniform Investment Adviser Law Examination | 1994-06-10 |
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