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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 |
|---|---|---|---|
| AL | RA | APPROVED | 2020-06-17 |
| TX | RA | APPROVED | 2020-06-16 |
Branch Locations
2801 Hwy 280 S Ste 1-400, Birmingham, AL 35223 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc | Birmingham | AL | 08/2011 | 06/2020 |
| Wells Fargo Clearing Services, Llc. | Birmingham | AL | 06/2020 | Present |
SAMFORD UNIVERSITY; NOT INVESTMENT RELATED; HOMEWOOD,AL; BOARD OF TRUSTEES; START DATE 06/24/2020; NUMBER OF HOURS PER MONTH 1; NUMBER OF HOURS DURING TRADING 0; ATTENDING MEETINGS TO DISCUSS VARIOUS COMMITTEE REPORTS OF THE COLLEGE AND GIVE RECOMMENDATIONS ON THOSE REPORTS.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1998-09-28 |
| S63 | Uniform Securities Agent State Law Examination | 1997-01-10 |
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