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501 N Broadway, St Louis, MO 63102 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| KY | RA | APPROVED | 2021-07-15 |
| TX | RA | APPROVED | 2021-06-30 |
Branch Locations
400 E Main Avenue Suite 101, Bowling Green, KY 42101 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | Bowling Green | KY | 05/2009 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Bowling Green | KY | 11/2016 | 06/2021 |
| Stifel Nicolaus & Co Inc | Bowling Green | KY | 06/2021 | Present |
1. Java Properties; 315 Collett Bridge Road, Alvaton, KY 42122; Rental property and land development; Member; Passive Investor; 12/30/2013; 1 Hour per Month; Not During Securities Trading Hours; Investment-Related. 2. WKU Department of Communications Advisory Board; 1906 College Heights Blvd, Bowling Green, KY 42101; Provide general guidance to department; Council Member; Provide sounding board for faculty and students; 01/01/2016; 2 Hours per Year; Not During Securities Trading Hours; Not Investment-Related. 3. Difference Makers LLC; 315 Collett Bridge Rd Alvaton KY 42122; Real Estate Investing/Property Management; 1/4 Owner; 4/10/23; 1 hour per month; not during securities trading hours; inv related 4. The Community Foundation of South Central Kentucky; 810 College Street Bowling Green KY 42101; Community Foundation/Non-Profit Organization; Board Member; Attend bi-monthly board meetings; 02/19/2024; 6.00hrs/year; During Securities Trading Hours; Not Investment-Related. 5. WKU Alumni Association Board of Directors; 292 Alumni Ave Bowling Green KY 42101; Volunteer board member on the Alumni Association Board for Western Kentucky University; Volunteer board member; Board participation (meetings); 07/01/2025; 1 hr/month; During security trading hours; Not Investment-Related
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1997-06-06 |
| S63 | Uniform Securities Agent State Law Examination | 1993-10-19 |
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