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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 |
|---|---|---|---|
| AZ | RA | APPROVED | 2024-06-04 |
| CA | RA | APPROVED | 2024-05-31 |
| TX | RA | APPROVED | 2024-05-31 |
Branch Locations
18700 N Hayden Rd Ste 525, Scottsdale, AZ 85255 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Moors & Cabot Inc | Phoenix | AZ | 02/2009 | 11/2018 |
| Stifel Nicolaus & Co Inc | Phoenix | AZ | 11/2018 | 11/2019 |
| Ameriprise Financial Services Inc | Phoenix | AZ | 11/2019 | 03/2020 |
| Ameriprise Financial Services, Llc | Scottsdale | AZ | 03/2020 | 05/2024 |
| Wells Fargo Clearing Services, Llc | Scottsdale | AZ | 05/2024 | Present |
ARIZONA SCIENCE CENTER, NOT INVT RELATED, PHOENIX, AZ, BOARD OF TRUSTEES, START DATE 11/1/2016, 1-3 HRS PER MONTH, 0 HRS DURING TRADING, ATTENDING MEETINGS, PROVIDING GENERAL OVERSIGHT AND ADHERENCE TO MISSION, UNDERSTANDING THE OPERATION OF THE CENTER AND TO PROVIDING FEEDBACK ON MATERIAL PROJECTS THAT ARE PROPOSED AND ASSISTING WITH FUNDRAISING. THE COWBOY CHOWBOY, NOT INVT RELATED, PHOENIX, AZ, 100% OWNERSHIP, START DATE 10/5/2024, 3-5 HRS PER MONTH, 0 HRS DURING TRADING, FOOD TRUCK BUSINESS. BOY SCOUTS OF AMERICA-GRAND CANYON, INVT RELATED, PHOENIX, AZ, INVESTMENT COMMITTEE MEMBER, START DATE 11/01/2003, 2-3 HRS PER MONTH, 0 HRS DURING TRADING, ATTENDING MEETINGS, REVIEWING THE OVERALL PORTFOLIO PERFORMANCE ,LOOKING AT INVESTMENT STRATEGY IN GENERAL TERMS, DISCUSSING ASSET ALLOCATION. DON NIERLING MEMORIAL FOUNDATION, NOT INVT RELATED, CHICAGO, IL, BOARD OF TRUSTEES, START DATE 9/1/2003, 1-2 HRS PER MONTH, 0 HRS DURING TRADING, ATTENDING MEETINGS, DISBURSING FUNDS TO APPLICANTS OF CHARITABLE ORGANIZATIONS TO HELP CHILDREN AND THE UNDER-SERVED POPULATIONS.| TRUSTEE FOR MOTHER;INV RELATED; PHOENIX,AZ; TRUSTEE TO MANAGE ASSESTS ;TRUSTEE; START DATE: 09/17/2013; 4 HRS PER MONTH; 4 HRS DURING TRADING;| TRUSTEE FOR GRAND MOTHER;INV RELATED; PHOENIX,AZ; TRUSTEE TO MANAGE ASSESTS ; TRUSTEE; START DATE: 01/01/1985; 4 HRS PER MONTH; 4 HRS DURING TRADING; |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2000-10-31 |
| S63 | Uniform Securities Agent State Law Examination | 1991-11-08 |
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