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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 |
|---|---|---|---|
| NM | RA | APPROVED | 2018-07-18 |
| TX | RA | APPROVED_RES | 2018-07-17 |
Branch Locations
315 Paseo De Peralta, Santa Fe, NM 87501 • United States
Sante Fe, NM • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Santa Fe | NM | 05/2008 | 07/2018 |
| Bank Of America, N.A. | Santa Fe | NM | 05/2011 | 07/2018 |
| Wells Fargo Clearing Services, Llc | Sante Fe | NM | 07/2018 | Present |
LOAN, INV RELATED, SANTA FE, NM, START: 6/30/2020, 0 HRS/MONTH, 0 HRS DURING TRADING. BOOK: NATIONAL PARKS A TRAVEL MEMOIR, NOT INV RELATED, SANTA FE, NM, AUTHOR, START 12/1/2023, ZERO HOURS PER MONTH, ZERO HOURS DURING TRADING, NATIONAL PARK MEMOIR. | STRIDE FITNESS FRANCHISE; NOT INV RELATED; ALBUQUERQUE, NM; GYM; 50% OWNER; 11/07/2026; 4 HOURS PER MONTH; 0 DURING TRADING;
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2007-07-30 |
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