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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 |
|---|---|---|---|
| WA | RA | APPROVED | 2022-07-22 |
| TX | RA | APPROVED_RES | 2022-07-21 |
Branch Locations
555 110Th Ave Ne 10Th Fl, Bellevue, WA 98004 • United States
999 3Rd Ave [Wv-Rbo], Seattle, WA 98104 • United States
205 108Th Ave Ne 6Th Fl, Bellevue, WA 98004 • 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 |
|---|---|---|---|---|
| Bank Of America, N.A. | Seattle | WA | 01/1993 | 07/2022 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Seattle | WA | 10/2009 | 07/2022 |
| Wells Fargo Clearing Services, Llc | Seattle | WA | 07/2022 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2001-10-09 |
| S63 | Uniform Securities Agent State Law Examination | 1994-03-21 |
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