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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 |
|---|---|---|---|
| FL | RA | APPROVED | 2020-08-31 |
| TX | RA | APPROVED_RES | 2020-08-28 |
Branch Locations
13515 Bell Tower Dr Ste 100, Fort Myers, FL 33907 • 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 |
|---|---|---|---|---|
| Ubs Financial Services Inc | Ft Myers | FL | 10/2008 | 08/2020 |
| Wells Fargo Clearing Services, Llc. | Fort Myers | FL | 08/2020 | Present |
KING FAMILY WYOMING, LLC, INVT RELATED, ESTERO, FL, 100% OWNERSHIP WITH SPOUSE, START DATE 3/28/2022, 3 HRS PER MONTH, 1 HRS DURING TRADING, MANAGING MEMBER TO HOUSE INVESTMENTS. DIAMONDS & STOCKS, LLC ; INV RELATED;ESTERO,FL; ASSET PROTECTION ; 50; START DATE: 01/15/2026; 1 HRS PER MONTH; 0 HRS DURING TRADING;
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2000-01-21 |
| S63 | Uniform Securities Agent State Law Examination | 2000-01-18 |
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