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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 |
|---|---|---|---|
| NV | RA | APPROVED | 2023-09-12 |
| AZ | RA | APPROVED | 2023-09-08 |
| TX | RA | APPROVED_RES | 2023-08-22 |
Branch Locations
15825 S Desert Foothills Pkwy, Phoenix, AZ 85048 • United States
4823 E Ray Rd, Phoenix, AZ 85044 • United States
8601 N Scottsdale Rd Ste 150 [Sf-Rbo], Scottsdale, AZ 85253 • 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 |
|---|---|---|---|---|
| Wamu Investments, Inc | Tempe | AZ | 12/2007 | 08/2023 |
| J.P. Morgan Securities Llc | Las Vegas | NV | 10/2012 | 08/2023 |
| Wells Fargo Clearing Services, Llc | Scottsdale | AL | 08/2023 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2007-04-19 |
| S63 | Uniform Securities Agent State Law Examination | 1997-03-05 |
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