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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 | 2026-06-09 |
| AL | RA | APPROVED | 2023-02-24 |
Branch Locations
2801 Hwy 280 S Ste 1-400, Birmingham, AL 35223 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Birmingham | AL | 06/2011 | 04/2019 |
| Bank Of America, N.A. | Birmingham | AL | 07/2011 | 04/2019 |
| Bb&T Securities | Birmingham | AL | 04/2019 | 02/2021 |
| Truist Investment Services, Inc. | Birmingham | AL | 02/2021 | Present |
| Wells Fargo Clearing Services, Llc (C | Birmingham | AL | 02/2023 | Present |
THE BIRMINGHAM ZOO INVESTMENT RELATED: N ADDRESS: 2630 CAHABA ROAD, BIRMINGHAM, ALABAMA 35223, CHARITABLE ORGANIZATION POSITION: COMMITTEE MEMBER, START DATE: 10/13/2015 NUMBER OF HOURS: 2 HOUR(S) MONTHLY, DURING TRADING HOURS: 0 DUTIES: FUNDRAISING AND COMMUNITY OUTREACH ON BEHALF OF THE BIRMINGHAM ZOO WEKOL HOLDING II, LLC POSITION: Member/Manager NATURE: This is a family LLC with my siblings and their spouses created to invest in real estate and other non-marketable investment opportunities. INVESTMENT RELATED: Yes NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2017 ADDRESS: 3812 Knollwood Drive, Birmingham AL 35243 BIRMINGHAM JEWISH FEDERATION POSITION: 2021 Annual Campaign Co-Chair NATURE: i am helping co-chair the 2021 annual fundraising campaign for the Birmingham Jewish Federation. The Federation raises funds to support Jewish causes both in the community and in Israel. INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 02/01/2021 ADDRESS: 3966 Montclair Road, Mountain Brook AL 35213
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2008-04-21 |
| S63 | Uniform Securities Agent State Law Examination | 2007-08-31 |
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