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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 |
|---|---|---|---|
| CA | RA | APPROVED | 2023-07-28 |
| WA | RA | APPROVED | 2023-07-28 |
Branch Locations
999 3Rd Ave Ste 4000, Seattle, WA 98104 • United States
74245 Hwy 111 Ste 203, Palm Desert, CA 92260 • 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 |
|---|---|---|---|---|
| Stifel Nicolaus & Co Inc | Seattle | WA | 02/2013 | 07/2023 |
| Wells Fargo Clearing Services, Llc | Palm Desert | CA | 07/2023 | Present |
RENTAL PROPERTY, INVESTMENT RELATED, RANCHO MIRAGE, CA, 100% OWNERSHIP, START 1/8/2014, 5 HOURS PER MONTH, 0 HOURS DURING TRADING, MANAGE PROPERTY
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1992-07-11 |
| S63 | Uniform Securities Agent State Law Examination | 1991-12-12 |
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