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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2021-08-31 |
| AL | RA | APPROVED | 2021-06-17 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Clearing Services, Llc | Daphne | AL | 12/2018 | 04/2021 |
| Wells Fargo Bank Na | Daphne | AL | 03/2018 | 04/2021 |
| Pnc Bank | Mobile | AL | 05/2016 | 03/2018 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Fairhope | AL | 04/2021 | Present |
I*4263269 Entity Type: Fiduciary role Name of OBA: D. J. Q. Irrevocable Trust Address: Millry, Alabama, 36558 Investment Related: No Position, Title, Association: Trustee Employee Start Date: 04/13/2026 Number of Hours: 10, Yearly Number of Hours during trading: 0 Duties: Trustee/Parents, Siblings
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2019-06-10 |
| S63 | Uniform Securities Agent State Law Examination | 2019-05-10 |
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