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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 |
|---|---|---|---|
| LA | RA | APPROVED | 2024-06-26 |
| TX | RA | APPROVED | 2018-04-17 |
Branch Locations
3770 N 16Th St, Orange, TX 77632 • United States
1000 Louisiana St 7Th Fl [Tn/Td-Rbo], Houston, TX 77002 • United States
435 S Main, Lumberton, TX 77657 • United States
2329 N Main St, Liberty, TX 77575 • United States
4405 Dowlen Rd, Beaumont, TX 77706 • United States
4175 Phelan Blvd, Beaumont, TX 77707 • United States
4000 Twin City Hwy Bldg B, Groves, TX 77619 • United States
1423 Boston Ave, Nederland, TX 77627 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Capital One Investment Services Corporation | Sulphur | LA | 05/2008 | 04/2018 |
| Capital One Sharebuilder, Inc. | Sulphur | LA | 01/2015 | 04/2018 |
| Sharebuilder 401K | Seattle | WA | 01/2015 | 04/2018 |
| Wells Fargo Clearing Services, Llc | Orange | TX | 04/2018 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2012-02-28 |
| S63 | Uniform Securities Agent State Law Examination | 2006-03-20 |
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