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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 |
|---|---|---|---|
| OH | RA | APPROVED | 2019-09-09 |
| TX | RA | APPROVED_RES | 2019-09-09 |
Branch Locations
226 Crocker Park Blvd Ste 200, Westlake, OH 44145 • United States
Cleveland, OH • 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 | Chagrin Falls | OH | 12/2009 | 09/2019 |
| Bank Of America, N.A. | Cleveland | OH | 06/2011 | 09/2019 |
| Wells Fargo Clearing Services Llc | Westlake | OH | 09/2019 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1998-04-24 |
| S63 | Uniform Securities Agent State Law Examination | 1998-03-20 |
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