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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 |
|---|---|---|---|
| MI | RA | APPROVED | 2016-11-09 |
| TX | RA | APPROVED_RES | 2016-10-28 |
Branch Locations
10850 E Traverse Hwy Ste 5575, Traverse City, MI 49684 • United States
2 disclosure categories 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 |
|---|---|---|---|---|
| Stifel, Nicolaus & Company, Incorporated | Traverse City | MI | 10/2009 | 10/2016 |
| Wells Fargo Advisors, Llc | Traverse City | MI | 10/2016 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Traverse City | MI | 11/2016 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2007-01-04 |
| S63 | Uniform Securities Agent State Law Examination | 1995-10-28 |
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