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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 |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2012-10-23 |
| OK | RA | APPROVED | 2012-10-19 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors Financial Network, Llc | Ponca City | OK | 10/2012 | Present |
TRUSTEE OF MULTIPLE FINET PRACTICE 401K PLANS FBO SELF AND ASSOCIATES; INV. RELATED; PONCA CITY, OK; START DATE 10/19/2012; LESS THAN 1 HR PER MONTH; 0 HRS DURING TRADING. UNITED WAY OF PONCA CITY; INV. RELATED; PONCA CITY, OK; ENDOWMENT COMMITTEE MEMBER; START DATE 12/1/2017; LESS THAN 1 HR PER MONTH; 0 HRS DURING TRADING; DUTIES: ATTEND MEETINGS REVIEW GRANTS AND RECOMMEND ALLOCATION OF FUNDS. FERGUSON, MULLIGAN, AND POET, LLC; INV. RELATED; PONCA CITY, OK; 25% OWNERSHIP; START DATE 10/2012; 0 HRS PER MONTH; 8 HRS DURING TRADING. TIPPERS CLUB, INVT RELATED, PONCA CITY, OK, TREASURER, START DATE 8/1/2017, 1 HER PER MONTH, 0 DURING TRADING; HOSPICE OF NORTH CAROLINA; NOT INV RELATED; PONCA CITY, OK; START 05/15/2024; 2 HOURS PER MONTH; 0 HOURS DURING TRADING; REVIEW MONTHLY AND ANNUAL FINANCIAL STATEMENTS PREPARED BY STAFF AND THIRD PARTY CPA FIRM.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-07-16 |
| S63 | Uniform Securities Agent State Law Examination | 1997-02-12 |
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