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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 |
|---|---|---|---|
| FL | RA | APPROVED | 2022-08-18 |
| TX | RA | APPROVED | 2006-10-04 |
Branch Locations
100 Crescent Ct Ste 1400, Dallas, TX 75201 • United States
1605 Main St 12Th & 14Th Fls, Sarasota, FL 34236 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | Dallas | TX | 05/2009 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Dallas | TX | 11/2016 | Present |
SOUTHERN METHODIST UNIVERSITY; NOT INVESTMENT RELATED; DALLAS, TX; TEACHING CONTINUING & PROFESSIONAL EDUCATION COURSE ON PERSONAL FINANCE TITLED "AVOIDING THE BIG MISTAKE"; COURSE DATES 9/23/13, 9/30/13, 10/7/13. & 10/14/13; 4 HOURS DEVOTED PER MONTH; NONE DURING TRADING HOURS. FRIENDS OF THE DALLAS PUBLIC LIBRARY, INV RELATED, DALLAS, TX, INVESTMENT COMMITTEE MEMBER, START 10/15/2016, 2 HOURS PER MONTH, ZERO DURING TRADING. TBD,LLC; NOT INV. RELATED; SARASOTA,FL; 100% OWNERSHIP; START DATE 04/15/2022; NUMBER OF HOURS PER MONTH 10; NUMBER OF HOURS DURING TRADING 0; OWNS A BOAT. TEEN COURT, INVT RELATED, SARASOTA, FL, VOLUNTEER INSTRUCTOR, START DATE 8/17/2022, 2 HRS PER MONTH, 0 HRS DURING TRADING, FINANCIAL LITERACY CLASS. CNS 3900 ENTERPRISES LLC; INV. RELATED; SARASOTA, FL; OWNER; CONDO; START DATE 3/15/2023; 0 HRS PER MONTH.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2006-08-01 |
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