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928 Grand Blvd 4Th Floor, Kansas City, MO 64106 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| ME | RA | APPROVED | 2026-03-30 |
| WI | RA | APPROVED | 2026-01-27 |
| VA | RA | APPROVED | 2025-11-12 |
| PA | RA | APPROVED | 2025-08-28 |
| OR | RA | APPROVED | 2025-08-21 |
| MA | RA | APPROVED | 2025-06-05 |
| WA | RA | APPROVED | 2025-04-08 |
| NM | RA | APPROVED | 2024-10-23 |
| MN | RA | APPROVED | 2024-05-03 |
| CA | RA | APPROVED | 2024-05-02 |
| FL | RA | APPROVED | 2024-04-12 |
| AZ | RA | APPROVED | 2024-04-11 |
| CO | RA | APPROVED | 2024-04-11 |
| TX | RA | APPROVED_RES | 2024-04-11 |
Branch Locations
2036 E Camelback Road, Phoenix, AZ 85016 • United States
4200 W 115Th Street, Leawood, KS 66211 • United States
Phoenix, AZ • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Bank, N.A. | Scottsdale | AZ | 02/2010 | 01/2023 |
| Wells Fargo Advisors Llc | Scottsdale | AZ | 07/2011 | 11/2016 |
| Princess Jewels Llc | Phoenix | AZ | 02/2002 | Present |
| Wells Fargo Clearing Services, Llc | Scottsdale | AZ | 11/2016 | 01/2023 |
| Comerica Bank | Phoenix | AZ | 01/2023 | 03/2024 |
| Ameriprise Financial Services, Llc | Phoenix | AZ | 11/2023 | 03/2024 |
| Umb Financial Services Inc | Phoenix | AZ | 04/2024 | Present |
| Umb Bank | Phoenix | AZ | 04/2024 | Present |
1) Princess Jewels, Owner; Retail; 1007 W Flower St, , Phoenix, AZ, 85013; Not Investment-Related; 2003; 1 to 9 hours per month; 0 during trading hours 2) Interiors to Live By, 2006, help my wife with the finances for her business ; 1007 W Flower St, , Phoenix, AZ, 85013; Not Investment-Related; 2006; 0 during trading hours; 1 to 9 hours per month 3) UMB Bank, n.a., investment-related, 1010 Grand Blvd., Kansas City, MO, 64106, investment management services, financial services professional, start date 04/08/2024, 8 hours per month allocated to UMB Bank during normal business hours
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2015-09-11 |
| S63 | Uniform Securities Agent State Law Examination | 2011-10-13 |
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