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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 | 2025-11-23 |
| TN | RA | APPROVED | 2020-02-18 |
Branch Locations
265 Brookview Centre Way Ste 100, Knoxville, TN 37919 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc. | Knoxville | TN | 11/2004 | 02/2020 |
| Wells Fargo Clearing Services, Llc. | Knoxville | TN | 02/2020 | Present |
MAYO GARDEN CENTER; NOT INVESTMENT RELATED; KNOXVILLE,TN; 9% OWNERSHIP; START DATE 02/17/1990; NUMBER OF HOURS PER MONTH 0; NUMBER OF HOURS DURING TRADING 0; SILENT OWNER. ATTORNEY-IN-FACT FOR MOTHER; INV RELATED; KNOXVILLE, TN; ATTORNEY-IN-FACT; 06/2025; 1 HOUR PER MONTH; 0 DURING TRADING; COVER FINANCIAL AND BUSINESS AFFAIRS FOR MOTHER
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2020-06-08 |
| S63 | Uniform Securities Agent State Law Examination | 1991-12-09 |
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