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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 |
|---|---|---|---|
| CO | RA | APPROVED | 2025-09-08 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| J.P. Morgan Securities Inc | Denver | CO | 06/2009 | 10/2017 |
| Jpmorgan Chase Bank | Denver | CO | 06/2009 | 10/2017 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Denver | CO | 10/2017 | 08/2025 |
| Wells Fargo Clearing Services, Llc | Denver | CO | 08/2025 | Present |
I*372881, Entity Type: Entity For Profit, Name of OBA: JM Real Estate License, Address: Littleton, Colorado 80124, Investment Related: N, Position, Title, Association: Other, Employee Start Date: 01/01/2002, No Hours: 1, No Hours during trading: 0, Duties: I hold a real estate license in my own name for personal business only. When I buy real estate I will write the contract. This happens very infrequently - maybe once every 5 or 7 years. REAL ESTATE LICENSE - COLORADO; NOT INV RELATED; LITTLETON,CO; REAL ESTATE; START DATE: 01/01/2025; 1 HRS PER MONTH; 0 HRS DURING TRADING;
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2018-02-12 |
| S66 | Uniform Combined State Law Examination | 2006-05-05 |
| S63 | Uniform Securities Agent State Law Examination | 1988-08-05 |
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