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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 | 2019-06-18 |
Branch Locations
77 Sugar Creek Center Blvd Ste 100, Sugar Land, TX 77478 • United States
2 disclosure categories 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 |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Houston | TX | 05/1972 | 06/2019 |
| Bank Of America, N.A. | Houston | TX | 09/2009 | 06/2019 |
| Wells Fargo Clearing Services, Llc | Sugar Land | TX | 06/2019 | Present |
GUARDIAN FOR SON, INV RELATED, BRYAN, TX, START: 7/23/1999, 12 HRS/MONTH, 0 HRS DURING TRADING.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1995-12-27 |
| S63 | Uniform Securities Agent State Law Examination | 1985-09-18 |
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