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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 |
|---|---|---|---|
| NC | RA | APPROVED | 2024-08-06 |
| SC | RA | APPROVED | 2024-08-05 |
Branch Locations
550 S Tryon St 44Th & 45Th Fls, Charlotte, NC 28202 • United States
One North Jefferson Avenue Mail Code: H0004-05G, St. Louis, MO 63103 • UNITED STATES
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Unionbanc Investment Services | San Diego | CA | 04/2016 | 06/2018 |
| J.P. Morgan Securities Llc | Lexington | KY | 06/2018 | 07/2024 |
| Jp Morgan Chase Bank, N.A. | Lexington | KY | 08/2021 | 07/2024 |
| Wells Fargo Clearing Services, Llc | Charlotte | NC | 07/2024 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2006-10-31 |
| S63 | Uniform Securities Agent State Law Examination | 2004-12-31 |
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