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501 N Broadway, St Louis, MO 63102 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2017-12-04 |
| TX | RA | APPROVED | 2017-12-04 |
Branch Locations
7 Village Club Court Suite 100, Pinehurst, NC 28374 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | Pinehurst | NC | 05/2009 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Pinehurst | NC | 11/2016 | 12/2017 |
| Stifel Nicolaus & Co Inc | Pinehurst | NC | 12/2017 | Present |
1. Vaughan Rental Property; 2 Chatham Lane Pinehurst NC 28374; Rental Property; Manage Rental Property; 08/15/2009; 0.00 Hour(s) Per Day; not during securities trading hours; Investment-Related
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2002-04-22 |
| S63 | Uniform Securities Agent State Law Examination | 2001-07-16 |
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