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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 | 2018-07-02 |
| AL | RA | APPROVED | 2018-05-23 |
Branch Locations
2801 Hwy 280 S Ste 1-400, Birmingham, AL 35223 • United States
2843 Cahaba Rd, Mountain Brook, AL 35223 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Duncan-Williams, Inc. | Memphis | TN | 06/2011 | 04/2018 |
| Wells Fargo Clearing Services, Llc | Birmingham | AL | 04/2018 | Present |
SWAYZE'S CLAY COVERED GHOST HANDS LLC DBA SMALLWOOD CERAMICS, NOT INV RELATED,MOUNTAIN BROOK, AL, 100% OWNERSHIP, START 4/24/2020, 20 HOURS PER MONTH, ZERO DURING TRADING, CERAMICS SALES.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2018-05-23 |
| S63 | Uniform Securities Agent State Law Examination | 2011-09-01 |
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