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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 |
|---|---|---|---|
| IA | RA | APPROVED | 2024-02-28 |
| TX | RA | APPROVED | 2024-02-28 |
Branch Locations
13631 University Ave, Clive, IA 50325 • United States
6400 Westown Parkway Suite 115 [Ga/Gw-Rbo], West Des Moines, IA 50266 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Bank, Na | West Des Moines | IA | 11/2012 | 03/2017 |
| Jpmorgan Chase Bank | Laguna Niguel | CA | 04/2017 | 01/2018 |
| Wells Fargo Bank, Na | Ankeny | IA | 07/2018 | 11/2020 |
| Bankers Trust Company | Des Moines | IA | 01/2018 | 06/2018 |
| Raymond James Financial Services, Inc. | Clive | IA | 12/2020 | 07/2022 |
| Raymond James Financial Services Advisors, Inc | Clive | IA | 12/2020 | 07/2022 |
| Great Western Bank | Clive | IA | 12/2020 | 07/2022 |
| Great Western Investments And Insurance | Ankeny | IA | 10/2021 | 07/2022 |
| Lpl Financial Llc | Marshalltown | IA | 07/2022 | 02/2024 |
| First Interstate Bank | Marshalltown | IA | 07/2022 | 02/2024 |
| Wells Fargo Clearing Services, Llc | West Des Moines | IA | 02/2024 | Present |
CASITAS DEL MONTE CONDO ASSOCIATION, INVT RELATED, PALM SPRINGS, CA, TREASURER, START DATE 3/11/2023, 1 HR PER MONTH, 0 HRS DURING TRADING. ATTENDING BOARD MEETINGS AND VOTING ON DECISIONS PERTAINING TO THE TIMESHARE COMPLEX. CASITAS DEL MONTE CONDO ASSOCIATION ; NOT INV RELATED;PALM SPRINGS,CA; RESORT; PRESIDENT; START DATE: 03/01/2026; 1 HRS PER MONTH; 0 HRS DURING TRADING;
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2015-07-07 |
| S63 | Uniform Securities Agent State Law Examination | 2015-06-16 |
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