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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 | 2014-02-10 |
| OH | RA | APPROVED | 2012-10-22 |
Branch Locations
8044 Montgomery Rd Ste 570 Towers Of Kenwood, Cincinnati, OH 45236 • United States
Cincinnati, OH • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors | Cincinnati | OH | 10/2012 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Cincinnati | OH | 11/2016 | Present |
RENTAL PROPERTY; INVESTMENT RELATED; CINCINATTI, OH; 100% OWNERSHIP; START DATE 1996; 0 HOURS PER MONTH; DUTIES ARE OWNER OF SINGLE FAMILY HOME. CARVILLE LEGAL COUNSEL, LLC; NOT INVESTMENT RELATED; CINCINNATI,OH; OFFICE MANAGER; START DATE 05/01/2020; NUMBER OF HOURS PER MONTH 4; NUMBER OF HOURS DURING TRADING 0; ADMINISTRATIVE HELP, ANSWERING EMAILS, SORTING MAIL, AND WRITING CHECKS. MCNICHOLAS HIGH SCHOOL, INVT RELATED, CINCINNATI, OH, ENDOWMENT COMMITTEE, START DATE 1/13/2023, 2 HRS PER MONTH, 0 HRS DURIING TRADING, ATTENDING MONTHLY MEETINGS, DISCUSSING PROGRESS, WORKING ON PROCEDURES FOR ACCEPTING DONATIONS, MARKETING EFFORTS VIA THE WEB PAGE AND REVIEWING AND DISCUSSING INVESTMENT STATEMENTS.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2002-09-18 |
| S63 | Uniform Securities Agent State Law Examination | 1993-04-01 |
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