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501 N Broadway, St Louis, MO 63102 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2022-07-26 |
| MT | RA | APPROVED | 2019-10-01 |
Branch Locations
875 Harmon Stream Blvd Suite 200, Bozeman, MT 59718 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Clearing Services, Llc | Bozeman | MT | 01/2019 | 09/2019 |
| Wells Fargo Bank, Na | Bozeman | MT | 02/2016 | 01/2019 |
| Stifel Nicolaus & Co Inc | Bozeman | MT | 09/2019 | Present |
1. Reach, Inc.; 322 Gallatin Park Drive Bozeman MT 59715; provides residential, vocational, and transportation services for adults with developmental disabilities; Finance Committee Member; 1 Finance Committee meeting monthly; 05/28/2024; 2.00hrs/month; Not During Securities Trading Hours; Not Investment-Related. 2. Reach, Inc.; 322 Gallatin Park Drive Bozeman MT 59715; provides residential, vocational, and transportation services for adults with developmental disabilities; Board Member; Monthly board meetings. 2 fundraiser events annually; 05/28/2024; 3.00hrs/month; Not During Securities Trading Hours; Not Investment-Related.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2019-06-05 |
| S63 | Uniform Securities Agent State Law Examination | 2019-05-10 |
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