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501 N Broadway, St Louis, MO 63102 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2020-02-26 |
| KS | RA | APPROVED | 2019-11-13 |
Branch Locations
4910 Corporate Centre Drive Suite 104, Lawrence, KS 66047 • 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 |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | Lawrence | KS | 05/2009 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Lawrence | KS | 11/2016 | 10/2019 |
| Stifel Nicolaus & Co Inc | Lawrence | KS | 10/2019 | Present |
1. Mark Neis Farms; 12775 County Line Rd, Eudora, KS 66025; Agriculture; Family Member; 05/01/1998; 0 Hours per Day; Not During Securities Trading Hours; Investment-Related. 2. Lawrence Breakfast Cosmos Club;2659 Stafford Road Ottawa KS 66067; civic organization to find a cure for diabetes; President; conduct meetings and oversee functions; 7/1/2005; 1 hr/week;During securities trading hours; not investment related.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2000-07-24 |
| S63 | Uniform Securities Agent State Law Examination | 1992-02-21 |
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