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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 | 2019-03-06 |
| TX | RA | APPROVED | 2019-03-01 |
Branch Locations
18700 N Hayden Rd Ste 525, Scottsdale, AZ 85255 • 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 |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Scottsdale | AZ | 08/2012 | 02/2019 |
| Bank Of America N.A. | Scottsdale | AZ | 09/2012 | 02/2019 |
| Wells Fargo Clearing Services, Llc | Scottsdale | AZ | 02/2019 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2001-07-13 |
| S63 | Uniform Securities Agent State Law Examination | 2000-12-08 |
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