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501 N Broadway, St Louis, MO 63102 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2020-04-03 |
| MI | RA | APPROVED | 2019-06-13 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | East Lansing | MI | 05/2009 | 11/2016 |
| Wells Fargo Clearing Services, Llc | East Lansing | MI | 11/2016 | 06/2019 |
| Stifel Nicolaus & Company Inc. | Okemos | MI | 06/2019 | Present |
1. Zephyr Condominium; 22 S Harbor Dr Grand Haven MI 49417; Condo complex; Board Member; Quarterly Board Meeting;9/1/17; 2 hr/qtr; Not during securities trading hours; Not Investment-Related. 2. Zephyr Condominium; 22 S Harbor Dr Grand Haven MI 49417; Condo complex; Secretary of the Board; 12/06/2022; 2 Hours per Quarter; Not during securities trading hours; Not Investment-Related.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1993-10-20 |
| S63 | Uniform Securities Agent State Law Examination | 1993-08-16 |
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