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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 |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2022-06-09 |
| AL | RA | APPROVED | 2022-06-07 |
Branch Locations
2801 Hwy 280 S Ste 1-400, Birmingham, AL 35223 • United States
2801 Highway 280 S Ste 400 [A1-Rbo], Birmingham, AL 35223 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Principal Securities, Inc | Birmingham | AL | 02/2016 | 07/2017 |
| Principal Financial Group | Birmingham | AL | 03/2016 | 07/2017 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Birmingham | AL | 07/2017 | 12/2018 |
| Bank Of America | Birmingham | AL | 07/2017 | 12/2018 |
| Wells Fargo Clearing Services, Llc | Gadsden | AL | 12/2018 | 08/2021 |
| Wells Fargo Bank, N.A. | Gadsden | AL | 12/2018 | 08/2021 |
| Jpmorgan Chase Bank, N.A. | Birmingham | AL | 08/2021 | 05/2022 |
| J.P. Morgan Securities Llc | Birmingham | AL | 08/2021 | 05/2022 |
| Wells Fargo Clearing Services, Llc | Birmingham | AL | 05/2022 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2016-05-19 |
| S63 | Uniform Securities Agent State Law Examination | 2015-08-08 |
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