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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_RES | 2024-10-29 |
| OH | RA | APPROVED | 2019-02-01 |
| KY | RA | APPROVED | 2017-08-09 |
Branch Locations
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 |
|---|---|---|---|---|
| Fifth Third Securities | Florence | KY | 10/2008 | 08/2017 |
| Wells Fargo Clearing Services Llc | Fort Mitchell | KY | 08/2017 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2008-12-22 |
| S63 | Uniform Securities Agent State Law Examination | 2005-09-30 |
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