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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 |
|---|---|---|---|
| NE | RA | APPROVED | 2018-07-16 |
| TX | RA | APPROVED | 2018-07-13 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Citigroup Global Markets Inc. | Omaha | NE | 04/2005 | 07/2018 |
| Morgan Stanley Smith Barney | Omaha | NE | 06/2009 | 07/2018 |
| Morgan Stanley Private Bank, National Association | New York | NY | 01/2015 | 07/2018 |
| Wells Fargo Clearing Services, Llc | Omaha | NE | 07/2018 | Present |
FINRA, INV RELATED, OMAHA, NB, ARBITRATOR, START 8/1/2014, 2 HOURS PER MONTH, ZERO DURING TRADING, CONFERENCE CALLS AND ARBITRATION HEARINGS. TIK TOK INFLUENCER, NOT INVT RELATED, WATERLOO, NE, 100% OWNERSHIP, START DATE 11/1/2023, 1 HR PER MONTH, 0 HRS DURING TRADING, RECORD TIK TOK VIDEOS OF HOME RENOVATIONS. RYAN & KATE HORNER, NOT INV RELATED, WATERLOO, NE, 100% OWNERSHIP, START DATE: 12/29/23, 3 HRS PER MONTH, 0 HRS DURING TRADING, COVER BAND MUSICIAN.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2005-06-22 |
| S63 | Uniform Securities Agent State Law Examination | 2000-07-26 |
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