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720 East Wisconsin Avenue, Milwaukee, WI 53202-4797 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MO | RA | APPROVED | 2021-01-13 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | Frontenac | MO | 05/2009 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Frontenac | MO | 11/2016 | Present |
| Northwestern Mutual Investment Services, Llc | Clayton | MO | 01/2021 | Present |
| David Beaman | Clayton | MO | 01/2021 | Present |
| Northwestern Mutual Wealth Management Company | Milwaukee | WI | 02/2021 | Present |
1. POA FOR MOTHER; INV RELATED; ST. LOUIS, MO; START 11/3/2006; 1 HOUR PER MONTH, 1 DURING TRADING. UNITARIAN UNIVERSALIST CHURCH OF DESERT; INVESTMENT RELATED; RANCHO MIRAGE,CA; INVESTMENT COMMITTEE MEMBER; START 1/1/2016; NUMBER OF HOURS PER MONTH 2; NUMBER OF HOURS DURING TRADING 0; REVIEWING THE CHURCH BUDGET. 2. SPRINGS HOME OWNERS ASSOCIATION, INV RELATED, RANCHO MIRAGE, CA, FINANCE COMMITTEE MEMBER, START 4/1/2020, 2 HOURS PER MONTH, ZERO DURING TRADING, MONITORING REVENUE AND EXPENSES. 3. COMMITTEE MEMBER, THE UNITARIAN UNIVERSWALISTS CHURCH OF THE DESERT, 72425 VIA VAIL,, RANCHO MIRAGE, , CALIFORNIA, 92270, UNITED STATES OF AMERICA, FIDUCIARY CAPACITY, START DATE: 03/03/2021, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, REVIEW THE CHURCH BUDGET AND FINANCIALS
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2004-02-25 |
| S63 | Uniform Securities Agent State Law Examination | 2001-05-10 |
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