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501 N Broadway, St Louis, MO 63102 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2023-03-22 |
Branch Locations
Four Chasewood, 20329 State Highway 249 Suite 150, Houston, TX 77070 • United States
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 | Houston | TX | 03/1998 | 03/2023 |
| Bank Of America, N.A. | Houston | TX | 05/2011 | 03/2023 |
| Stifel, Nicolaus & Company, Incorporated | Houston | TX | 03/2023 | Present |
1. TWC Holdings LLC; Tomball, TX 77375; Raw Land that is leased out for farming corn and hay; President; I do not have any duties except to make sure I am paid the lease money each year; 10/1/11; 2 hr/yr; Not During Securities Trading Hours; Investment Related.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1997-05-05 |
| S63 | Uniform Securities Agent State Law Examination | 1994-08-19 |
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