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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 | 2017-10-27 |
Branch Locations
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated : 7691 | Plano | TX | 10/2008 | 10/2017 |
| Bank Of America,Na | Plano | TX | 09/2009 | 10/2017 |
| Wells Fargo Clearing Services Llc | Frisco | TX | 09/2017 | Present |
RENTAL PROPERTY, INV RELATED, MOUNTAIN VILLAGE, CO, 100% OWNERSHIP, START 10/27/2017, ZERO HOURS PER MONTH, ZERO DURING TRADING, OWNER AND MANAGE PROPERTY.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2007-09-25 |
| S63 | Uniform Securities Agent State Law Examination | 1993-11-19 |
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