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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MO | RA | APPROVED | 2020-11-24 |
| TX | RA | APPROVED | 2020-11-24 |
Branch Locations
One North Brentwood Suite 900, St. Louis, MO 63105-3926 • United States
St Louis, MO • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors, Llc | Clayton | MO | 03/2012 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Clayton | MO | 11/2016 | 11/2020 |
| Rbc Capital Markets, Llc | St. Louis | MO | 11/2020 | Present |
1) HALO INVESTMENTS LLC, UNIVERSITY CITY, MO NOT INVESTMENT RELATED, REHAB OF RESIDENTIAL REAL ESTATE, OWNER, TIME SPENT: 2 HOUR/MONTH, NONE DURING TRADING HOURS. ASTHMA ALLERGY FOUNDATION ST LOUIS; NOT INVESTMENT RELATED; ST LOUIS, MO; TREASURER; START DATE 1/1/18; 1 HOUR PER MONTH / 0 DURING TRADING HOURS. LADUE SCHOOL DISTRICT, NOT INV RELATED, LADUE, MO, FINANCE COMMITTEE MEMBER, START 8/1/2016, 2 HOURS PER MONTH, ZERO DURING TRADING, HIRING AND FIRING OF TEACHERS AND STAFF, ASSISTING WITH DECISIONS REGARDING ENHANCEMENTS, NEW BUILDINGS, EQUIPMENT, AND COMPUTERS FOR THE CLASSROOM. 2)Name: HALO Investments, LLC Address: 200 Wenneker Drive St Louis, MO 63124 Business Description: Owning Rental Property Business is not investment related Projected Start Date: 03/08/05 Capacity: Sole Proprietor Duties Performed: Owning Rental property Devoted to this OBA per Month: 1 Hours Devoted to this OBA during business hours: 0 (3) NAME OF ENTITY: St Louis Zoo Planned Giving Committee ADDRESS: 1 Government Drive St Louis MO 63110 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Zoo CAPACITY: Committee/Council Member (not associated with the Board of Directors) START DATE: 10/21/21 DUTIES: Discuss planned giving HOURS DEVOTED PER MONTH: 1 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 4) NAME OF ENTITY: Saint Louis University ADDRESS: 1 N. Grand Blvd Saint Louis, MO 63103 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Higher Education START DATE: 01.08.24 CAPACITY: Other - Adjunct Instructor DUTIES: Teaching university class to computer science, math, engineering, and finance students on various methods of price pattern recognition, database creation, methodology calculations, valuations, and thus visual presentation of data. HOURS DEVOTED PER MONTH: 2.5 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2012-06-01 |
| S63 | Uniform Securities Agent State Law Examination | 1992-06-16 |
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