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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 |
|---|---|---|---|
| MD | RA | APPROVED | 2025-03-14 |
| TX | RA | APPROVED | 2025-03-14 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial Llc | Cumberland | MD | 12/2010 | 03/2025 |
| First Peoples Community Fcu | Cumberland | MD | 12/2010 | 03/2025 |
| Wells Fargo Clearing Services, Llc. | Cumberland | MD | 03/2025 | Present |
RENTAL PROPERTY; INV RELATED; CUMBERLAND, MD; 100% OWNERSHIP WITH SPOUSE; 01/2012; 1 HOUR PER MONTH; 0 DURING TRADING; RENTAL PROPERTY | RENTAL PROPERTY; INV RELATED; CUMBERLAND, MD; 100% OWNERSHIP; 02/2025; 1 HOUR PER MONTH; 0 DURING TRADING; RENTAL PROPERTY
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1995-03-16 |
| S65 | Uniform Investment Adviser Law Examination | 1994-09-02 |
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