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1600 Broadway 4Th Floor, Denver, CO 80202 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CO | RA | APPROVED | 2025-11-20 |
| TX | RA | APPROVED | 2025-11-20 |
Branch Locations
1600 Broadway 4Th Floor, Denver, CO 80202 • United States
One Williams Center Plaza Southeast, Tulsa, OK 74102 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2025-11-04 |
Branch Locations
5601 Granite Parkway Stes. 400 & 1300, Plano, TX 75024 • United States
755 E. Mulberry Ste. 520, San Antonio, TX 78212 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Securities, Llc | San Antonio | TX | 08/2008 | 03/2017 |
| Wells Fargo Clearing Services | San Antonio | TX | 03/2017 | 10/2020 |
| Wells Fargo Bank | San Antonio | TX | 03/2017 | 10/2020 |
| Covenant | San Antonio | TX | 01/2021 | 09/2021 |
| Capfinancial Partners, Llc. (Captrust) | Raleigh | NC | 09/2021 | 05/2023 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | San Antonio | TX | 06/2023 | 06/2025 |
| Bok Financial Securities, Inc. | San Antonio | TX | 06/2025 | Present |
| Bokf, Na | San Antonio | TX | 06/2025 | Present |
1) Name: Bexar Harvest LP Location: San Antonio, TX 78212 Investment related (y/n): n Start date: January 2006 Position held: General partner, managing member Nature of outside business: limited partnership of real estate and real estate holdings Hrs/mo: 1 Hrs/mo during securities trading: 0 Brief description of duties: real estate consulting 2) Name: Charitable Riverwalk Education Foundation Inc., dba School of Science & Tech Location: San Antonio, TX 78209 Investment related (y/n): n Start date: September 2024 Position held: Board Member Nature of outside business: charitable foundation Hrs/mo: 1 Hrs/mo during securities trading: 0 Brief description of duties: governance responsibilities for the school
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2023-12-04 |
| S66 | Uniform Combined State Law Examination | 2017-06-15 |
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