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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 |
|---|---|---|---|
| MO | RA | APPROVED | 2018-12-04 |
| TX | RA | APPROVED_RES | 2018-12-03 |
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 |
|---|---|---|---|---|
| Wells Fargo Clearing Services Llc | Frontenac | MO | 11/2018 | Present |
| Stifel Nicolaus | St. Louis | MO | 10/2012 | 11/2018 |
CO-TRUSTEE FOR FRIEND; INV RELATED; CLAYTON, MO; START: 10/25/12; 0 HR/MO; 0 DURING TRADING.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1996-03-20 |
| S63 | Uniform Securities Agent State Law Examination | 1994-02-22 |
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