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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 | 2024-10-04 |
| AL | RA | APPROVED | 2021-10-05 |
Branch Locations
2801 Hwy 280 S Ste 1-400, Birmingham, AL 35223 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Compass Bank | Birmingham | AL | 03/2006 | 08/2021 |
| Bbva Securities Inc. | Birmingham | AL | 05/2013 | 08/2021 |
| Bbva Compass Insurance Agency, Inc. | Austin | TX | 04/2006 | 08/2021 |
| Pnc Investments | Birmingham | AL | 08/2021 | 10/2021 |
| Wells Fargo Clearing Services, Llc. | Birmingham | AL | 10/2021 | Present |
GONE FOR GOOD; INV RELATED; HUNTSVILLE. AL; 51% OWNERSHIP; START 12/31/2023; 4 HOURS PE RMONTH; 1 HOUR DURING TRADING; MAJORITY OWNER OF PAPER SHREDDING BUSINESS.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2021-09-01 |
| S63 | Uniform Securities Agent State Law Examination | 2009-12-31 |
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