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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 | 2022-10-10 |
Branch Locations
10999 W Interstate 10 5Th Fl/Ste 5000, San Antonio, TX 78230 • United States
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 |
|---|---|---|---|---|
| Hilltop Securities Inc. | San Antonio | TX | 07/2007 | 09/2022 |
| Wells Fargo Clearing Services, Llc | San Antonio | TX | 09/2022 | Present |
METHODIST HEALTHCARE MINISTRIES; NOT INV. RELATED; SAN ANTONIO, TX; ADVISORY BOARD MEMBER; START DATE 1/1/2021; 1 HR PER MONTH; 1 HR DURING TRADING; DUTIES: ATTEND MEETINGS TO DISCUSS HEALTHCARE AT FACILITIES AND ENTITY OPERATIONS. ENDEAVORS, INVT RELATED, SAN ANTONIO, TX, INVESTMENT COMMITTEE MEMBER, START DATE 7/1/2021, 4 HRS PER MONTH, 1 HR DURING TRADING, ATTENDING MEETINGS, OVERSEE INVESTMENTS BY INVESTMENT MANAGER, DISCUSSING FUNDS AVAILABLE FOR INVESTMENT, FUNDS FOR FUTURE OPERATION, DIVERSIFICATION/RISK OF PORTFOLIO AND PERFORMANCE WHILE FACILITATING MEETINGS.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1994-08-11 |
| S63 | Uniform Securities Agent State Law Examination | 1993-12-01 |
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