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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IL | RA | APPROVED | 2026-02-24 |
| MO | RA | APPROVED | 2026-02-23 |
Branch Locations
One North Brentwood Suite 900, St. Louis, MO 63105-3926 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Clearing Services, Llc | St. Louis | MO | 06/2016 | 01/2019 |
| Wells Fargo Clearing Services, Llc | St. Louis | MO | 01/2019 | 02/2026 |
| Rbc Capital Markets, Llc | St. Louis | MO | 02/2026 | Present |
(1) NAME OF ENTITY: Financial Industry Regulatory Authority, Inc. ADDRESS: 101 N Wacker Drive, Suite 200, Chicago, IL 60606 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Trade Association START DATE: Jun 01, 2020 CAPACITY: Other (Non-public FINRA Arbitrator) DUTIES: N/A HOURS DEVOTED PER MONTH: 0 - 4 Hours HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 - 4 Hours
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2016-07-29 |
| S63 | Uniform Securities Agent State Law Examination | 2013-10-01 |
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