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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2024-06-19 |
| IA | RA | APPROVED | 2024-05-10 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Clearing Services, Llc | Urbandale | IA | 03/2016 | 02/2017 |
| Wells Fargo Bank, Na | Urbandale | IA | 06/2013 | 08/2022 |
| Wells Fargo Clearing Services, Llc | Urbandale | IA | 10/2018 | 09/2022 |
| Jp Morgan Securities Llc | West Des Moines | IA | 09/2022 | 04/2024 |
| Wells Fargo Clearing Services, Llc | St Louis | MO | 09/2018 | 10/2018 |
| Jp Morgan Chase Bank, N.A. | West Des Moines | IA | 09/2022 | 04/2024 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | West Des Moines | IA | 04/2024 | Present |
| Drake University | Des Moines | IA | 01/2024 | Present |
| Grand View University | Des Moines | IA | 08/2021 | 05/2023 |
| Des Moines Area Community College | Ankeny | IA | 05/2018 | 08/2021 |
| Bank Of America, N.A. | West Des Moines | IA | 07/2024 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2019-02-26 |
| S63 | Uniform Securities Agent State Law Examination | 2019-01-18 |
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