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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 |
|---|---|---|---|
| KY | RA | APPROVED | 2022-01-25 |
| TX | RA | APPROVED_RES | 2021-09-03 |
| OH | RA | APPROVED | 2018-05-03 |
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 | Cincinnati | OH | 09/2017 | Present |
| Citigroup, Inc. | Florence | KY | 10/2016 | 09/2017 |
| Mary Kay | Independence | KY | 04/2016 | 10/2016 |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2018-06-22 |
| S63 | Uniform Securities Agent State Law Examination | 2006-05-02 |
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