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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 |
|---|---|---|---|
| AL | RA | APPROVED | 2020-06-16 |
| TX | RA | APPROVED | 2020-06-16 |
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 |
|---|---|---|---|---|
| Ubs Financial Services Inc | Birmingham | AL | 11/2008 | 06/2020 |
| Wells Fargo Clearing Services, Llc | Birmingham | AL | 06/2020 | Present |
LMW LLC; INV RELATED; BIRMINGHAM,AL; 1% OWNERSHIP; START 8/1/2008; 1 HOUR PER MONTH; ZERO HOURS DURING TRADING; LLC FOR REAL ESTATE AND OTHER NON-LIQUID NON-MARKET RELATED INVESTMENTS. JMH GOODWATER LLC, INV RELATED, BIRMINGHAM, AL, 100% OWNERSHIP, START 9/2/2021, ZERO HOURS PER MONTH, ZERO HOURS DURING TRADING, TO HOLD PERSONAL USE RECREATION PROPERTY.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1993-08-11 |
| S63 | Uniform Securities Agent State Law Examination | 1992-12-11 |
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