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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 |
|---|---|---|---|
| TX | RA | APPROVED | 2022-11-28 |
| IA | RA | APPROVED | 2022-08-17 |
Branch Locations
311 3Rd Ave Se Ste 102, Cedar Rapids, IA 52401 • United States
303 3Rd Ave Se [Oj-Rbo], Cedar Rapids, IA 52401 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Us Bank Wealth Management | Iowa City | IA | 07/2019 | 07/2021 |
| Transamerica Life Insurance | Cedar Rapids | IA | 06/2011 | 07/2019 |
| Private Wealth Asset Management | Cedar Rapids | IA | 08/2021 | 08/2022 |
| Wells Fargo Clearing Services, Llc | Des Moines | IA | 08/2022 | Present |
406 RIVERVIEW LLC; INV. RELATED; SWISHER, IA; 100% OWNERSHIP WITH SPOUSE; HOLD RENTAL PROPERTIES; START DATE 8/23/2021; 0 HRS PER MONTH; 0 HRS DURING TRADING; DUTIES: NONE.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2022-10-13 |
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