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40 Burton Hills Blvd Suite 350, Nashville, TN 37215 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MO | RA | APPROVED | 2023-10-12 |
| IL | RA | APPROVED | 2023-10-11 |
Branch Locations
7701 Forsyth Blvd. 8Th Floor, Clayton, MO 63105 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | Saint Louis | MO | 05/2009 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Saint Louis | MO | 11/2016 | 08/2023 |
| &Partners, Llc | St. Louis | MO | 10/2023 | Present |
| Ampersand Partners, Llc | St. Louis | MO | 08/2023 | 09/2023 |
SHIFT7 CAPITAL LLC POSITION: General Counsel NATURE: Shift7 Capital LLC ("Shift7") is a company that invests and takes ownership and/or revenue stakes in investment advisory practices in connection with independent Investment Adviser entities or independent Investment Adviser Representatives. INVESTMENT RELATED: Yes NUMBER OF HOURS: 50 SECURITIES TRADING HOURS: 40 START DATE: 06/18/2026 ADDRESS: Clayton, MO 63105, United States DESCRIPTION: Lead the Company's Legal Department and together with counsel for the Company, provide legal advice to the Company's board, management and employees in connection with business/operational matters.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2005-09-16 |
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