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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 |
|---|---|---|---|
| GA | RA | APPROVED | 2021-12-07 |
| TX | RA | APPROVED_RES | 2021-12-02 |
Branch Locations
3280 Peachtree Rd Ne Ste 300, Atlanta, GA 30305 • United States
Brookhaven, GA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc | Atlanta | GA | 03/2011 | 11/2021 |
| Wells Fargo Clearing Services, Llc | Atlanta | GA | 11/2021 | Present |
WILMA AND CASEY WOODWORKING, NOT INVT RELATED, ATLANTA, GA, 100% OWNERSHIP, START DATE 11/2/2021, 20 HRS PER MONTH, 0 HRS DURING TRADING, WOODWORKING AND RETAIL SALES. WRITE YOUR COMIC, LLC, NOT INVT RELATED, ATLANTA, GA, 100% OWNERSHIP, START DATE 12/13/2021, 5 HRS PER MONTH, 0 HRS DURING TRADING, LLC FOR BOOKS. HEY LOUIE, NOT INVT RELATED, ATLANTA, GA, AUTHOR, START DATE 3/12/2021, 0 HRS PER MONTH, 0 HRS DURING TRADING, AUTHOR OF BOOK. FOOTBALL BINGO, NOT INVT RELATED, ATLANTA, GA, AUTHOR, START DATE 8/2/2020, 0 HRS PER MONTH, 0 HRS DURING TRADING, AUTHOR OF BOOK. BASEBALL BINGO, NOT INVT RELATED, ATLANTA, GA, AUTHOR, START DATE7/21/2020, 0 HRS PER MONTH, 0 HRS DURING TRADING, AUTHOR OF BOOK. NEW TESTAMENT BOOK OF MATTHEW; NOT INV RELATED; SEATTLE,WA; BOOK; START DATE: 12/04/2025; 10 HRS PER MONTH; 0 HRS DURING TRADING;|
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2011-06-10 |
| S63 | Uniform Securities Agent State Law Examination | 2001-03-21 |
| S65 | Uniform Investment Adviser Law Examination | 1997-08-07 |
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