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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 | 2025-11-05 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| The Vanguard Group, Inc. | Scottsdale | AZ | 07/2024 | 10/2025 |
| Federal First Lending | Scottsdale | AZ | 06/2022 | 06/2024 |
| Northwestern Mutual | Chicago | IL | 04/2021 | 04/2022 |
| Ten Ninety Brewing Company | Glenview | IL | 04/2020 | 12/2022 |
| Wells Fargo Clearing Services, Llc | Peoria | AZ | 10/2025 | Present |
| Belvedere Trading Llc | Chicago | IL | 05/2018 | 08/2018 |
| National Tax Search Llc | Chicago | IL | 05/2019 | 08/2019 |
| The Loan Source | Glenview | IL | 04/2020 | 06/2020 |
| Indiana University | Bloomington | IN | 08/2017 | 05/2022 |
| Glenbrook South | Glenview | IL | 08/2013 | 05/2017 |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2025-11-17 |
| S63 | Uniform Securities Agent State Law Examination | 2024-09-27 |
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