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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 | 2018-09-05 |
| TX | RA | APPROVED_RES | 2018-08-21 |
| PA | RA | APPROVED | 2018-08-07 |
Branch Locations
6000 Fairview Rd Ste 800, Charlotte, NC 28210 • United States
150 N Radnor-Chester Rd Ste A100, Radnor, PA 19087 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Charlotte | NC | 01/2005 | 04/2018 |
| Wells Fargo Clearing Services Llc | Radnor | PA | 07/2018 | Present |
ALEXANDER CHILDREN'S FOUNDATION, NOT INVT RELATED, CHARLOTTE, NC, BOARD OF TRUSTEES, START DATE 10/1/2024, 3 HRS PER MONTH, 1 MONTH DURING TRADING, ATTENDING MEETINGS, DISCUSSING BUDGET, FUNDRAISING GOALS, COSTS OF EVENTS, ASSISTING WITH FUNDRAISING AND PROMOTING EVENTS.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2015-12-05 |
| S63 | Uniform Securities Agent State Law Examination | 2012-03-02 |
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