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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 |
|---|---|---|---|
| KS | RA | APPROVED | 2022-10-26 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Oppenheimer & Co | Kansas City | MO | 03/2009 | 10/2022 |
| Wells Fargo Clearing Services, Llc | Wichita | KS | 10/2022 | Present |
GUARDIAN FOR DAUGHTER, INV RELATED, DERBY, KS, START: 9/30/2023, 20 HOURS A MONTH, 0 HOURS DURING TRADING.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1997-11-17 |
| S63 | Uniform Securities Agent State Law Examination | 1997-11-04 |
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