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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 |
|---|---|---|---|
| IL | RA | APPROVED | 2022-08-12 |
| OK | RA | APPROVED | 2019-06-28 |
| TX | RA | APPROVED | 2019-06-28 |
Branch Locations
6801 Spring Creek Road Ste 1A, Rockford, IL 61114 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Oklahoma City | OK | 06/2009 | 06/2019 |
| Bank Of America, N.A. | Oklahoma City | OK | 09/2009 | 06/2019 |
| Wells Fargo Clearing Services Llc | Oklahoma City | OK | 06/2019 | Present |
FINRA; INVESTMENT RELATED; WASHINGTON,DC; ARBITRATOR; START 7/16/2019; NUMBER OF HOURS PER MONTH 2; NUMBER OF HOURS DURING TRADING 0; PHONE CALLS TO SCHEDULE HEARINGS AND ARBITRATION ON NYSE MEMBER LISTED AGENCIES AND INDIVIDUALS. UNITED WAY OF ROCK RIVER VALLEY, INVT RELATED, ROCKFORD, IL, FINANCE COMMITTEE MEMBER, START DATE 7/8/2024, 2 HRS PER MONTH, 1 HR DURING TRADING, ATTENDING MEETINGS, REVIEWING FINANCIAL AND MAKING SURE THE ORGANIZATION IS ON BUDGET.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2003-09-23 |
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