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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 |
|---|---|---|---|
| LA | RA | APPROVED | 2020-07-06 |
| GA | RA | APPROVED | 2018-11-13 |
| TX | RA | APPROVED | 2018-11-12 |
Branch Locations
4171 Essen Lane Suite 1250, Baton Rouge, LA 70809 • United States
111 Veterans Memorial Blvd Ste 1800, Metairie, LA 70005 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Alpharetta | GA | 07/1996 | 11/2018 |
| Wells Fargo Clearing Services, Llc | Atlanta | GA | 11/2018 | Present |
CO-TRUSTEE FOR FATHER; INV RELATED; GRAHAM, NC; START: 4/2023; .5 HR/MO; 0 DURING TRADING.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1996-09-30 |
| S63 | Uniform Securities Agent State Law Examination | 1996-09-19 |
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