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Current Employers
Wells Fargo Clearing Services, Llc

One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States

Current Registrations

AuthorityCategoryStatusDate
MO RA APPROVED 2022-03-10
TX RA APPROVED 2022-03-10
  • MO RA
    APPROVED
    Since 2022-03-10
  • TX RA
    APPROVED
    Since 2022-03-10

Branch Locations

14767 North Outer 40 Rd Fl 2, Chesterfield, MO 63017 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Ubs Financial Services Inc Town & Country MO 01/2009 03/2022
Wells Fargo Clearing Services, Llc Chesterfield MO 03/2022 Present
Previous Registrations
Other Businesses

MISSION 318; INV. RELATED; WILDWOOD,MO; TREASURER; START DATE 11/01/2022; NUMBER OF HOURS PER MONTH 3; NUMBER OF HOURS DURING TRADING 0; MAKING SURE ACCOUNTS RECEIVABLE ARE ACCURATE, GIVING ADVICE ON HOW TO BALANCE THE BUDGET, AND ATTENDING MEETINGS TO DISCUSS TRIPS TO LOCATIONS THAT THEY DUE ON AN ANNUAL BASIS, STRATEGY IN RAISING FUNDS FOR THE CHARITY, AND MONITORING MONEY GOING OUT TO PAY BILLS. CATHCART CAPITAL LLC; INV. RELATED; DARDENNE PRAIRIE, MO; 20% OWNERSHIP; AQUIRE RENTAL PROPERTY; START DATE 9/1/2023; 0 HRS PER MONTH; 0 HRS DURING TRADING; DUTIES: INVESTOR. | RENTAL PROPERTY; INV RELATED; PARK CITY, UT; 100% OWNERSHIP; 04/2025; 2 HOURS PER MONTH; 0 DURING TRADING; RENTAL PROPERTY

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2004-07-15
  • S66 Uniform Combined State Law Examination
    2004-07-15

View on SEC IAPD

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