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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2017-01-17 |
| TX | RA | APPROVED | 2017-01-13 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors, Llc. | Scottsdale | AZ | 10/2011 | 01/2017 |
| Wells Fargo Clearing Services, Llc | Scottsdale | AZ | 10/2011 | 01/2017 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Scottsdale | AZ | 01/2017 | Present |
| Bank Of America, N.A. | Scottsdale | AZ | 03/2017 | Present |
I*102846 For profit or not for profit: For-Profit Organization Name of outside business organization: Nixon Equine Development Investment related: N Address of business: Scottsdale, Arizona 85262 Nature of business: Sole Proprietorship, Position, title, association: Owner, Start date of relationship: 3/15/2002 Number of hours devoted: 6 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: This business is deisgned to devlop quarter horses for the purpose of team roping. It involves buying and selling of horses as well as cattle for roping.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2011-01-27 |
| S65 | Uniform Investment Adviser Law Examination | 2009-12-29 |
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