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501 N Broadway, St Louis, MO 63102 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MO | RA | APPROVED | 2019-08-12 |
Branch Locations
One Financial Plaza 501 North Broadway, St. Louis, MO 63102 • UNITED STATES
501 N Broadway, St Louis, MO 63102 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MO | RA | APPROVED | 2019-07-29 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Scottrade, Inc. | St. Louis | MO | 02/2009 | 03/2018 |
| Wells Fargo Clearing Services Llc | St Louis | MO | 04/2018 | 07/2019 |
| Stifel, Nicolaus & Company, Incorporated(793) | St. Louis | MO | 07/2019 | Present |
| Century Securities Associates, Inc.(28218) | St. Louis | MO | 08/2019 | Present |
| Keefe, Bruyette & Woods, Inc.(481) | St. Louis | MO | 08/2019 | Present |
1. RED WAGON PRESENTS CORP; 8033 Daytona Dr, Clayton, MO 63105; Online gift basket company; President;2/10/06; 0 hr/yr; not during securities trading hours; not investment related. 2. Securities Industry and Financial Markets Association;120 Broadway NY NY 10271;Industry trade group representing securities firms;Committee Member of Listed Option Trading Committee; Participate in conference calls;9/2/19; 1 hr/mo; during securities trading hours; Investment related. 3. Davis Place Neighborhood Association; 8033 Daytona Drive Clayton MO 63105; Plan neighborhood events, keep community informed, sign and approve fence and construction plans; Trustee; Assist in sub-division events and approve plans.; 11/01/2023; 4.00hrs/month; not during securities trading hours; not investment related.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2018-07-16 |
| S63 | Uniform Securities Agent State Law Examination | 1993-09-24 |
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