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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 | 2025-07-04 |
| UT | RA | APPROVED | 2025-01-23 |
Branch Locations
5201 Amelia Earhart Dr 2Nd & 3Rd Fls [Wt & Cst], Salt Lake City, UT 84116 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Fidelity Brokerage Services, Inc. | Salt Lake City | UT | 11/1991 | 12/2021 |
| Fidelity Personal And Workplace Advisors | Boston | MA | 07/2018 | 12/2021 |
| Retired | South Jordan | UT | 01/2022 | 04/2022 |
| Equitable Advisors, Llc | New York | NY | 04/2022 | 05/2022 |
| E*Trade Securities Llc | Sandy | UT | 09/2022 | 03/2024 |
| Retired | South Jordan | UT | 05/2022 | 09/2022 |
| E*Trade Capital Management Llc | Arlington | VA | 09/2022 | 03/2024 |
| Morgan Stanley | Sandy | UT | 03/2023 | 03/2024 |
| Morgan Stanley | Sandy | UT | 09/2023 | 03/2024 |
| Morgan Stanley | Sandy | UT | 09/2023 | 03/2024 |
| Sofi Securities, Llc | Cottonwood Heights | UT | 03/2024 | Present |
| Sofi Wealth, Llc | San Francisco | CA | 03/2024 | Present |
| Wells Fargo Clearing Services | Salt Lake City | UT | 11/2024 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2007-12-21 |
| S63 | Uniform Securities Agent State Law Examination | 1990-01-31 |
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