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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 | 2024-10-29 |
| OH | RA | APPROVED | 2024-02-16 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Vincenzo's Ristorante | Cincinnati | OH | 06/2005 | 05/2022 |
| Fidelity Investments | Covington | KY | 09/2021 | 09/2022 |
| Wells Fargo Clearing Services, Llc | Cincinnati | OH | 10/2022 | Present |
PARTY SOURCE; NOT INV RELATED; BELLEVUE, KY; SALES; START DATE 8/10/2024; 40 HOURS PER MONTH; 0 DURING TRADING; WORK IN THE WINE DEPARTMENT, MAKE RECCOMENDATIONS, AND STOCK WINE.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2024-02-15 |
| S63 | Uniform Securities Agent State Law Examination | 2022-03-11 |
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