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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_RES | 2026-03-25 |
| GA | RA | APPROVED | 2023-11-06 |
Branch Locations
1729 Buford Hwy, Cumming, GA 30041 • United States
2055 Sugarloaf Circle [G8-Rbo], Duluth, GA 30097 • United States
5495 Bethelview Rd, Cumming, GA 30040 • United States
106 W Maple St [G1/G3-Rbo], Cumming, GA 30040 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Bank Of America, N.A. | Lawrenceville | GA | 11/2015 | 09/2022 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Lawrenceville | GA | 11/2015 | 09/2022 |
| Raymond James & Associates, Inc. | Gainesville | GA | 09/2022 | 11/2023 |
| Wells Fargo Clearing Services, Llc | Chamblee | GA | 11/2023 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2015-04-13 |
| S63 | Uniform Securities Agent State Law Examination | 2013-11-07 |
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