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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 | 2019-11-01 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc. | Beaumont | TX | 08/1980 | 11/2019 |
| Wells Fargo Clearing Services, Llc | Beaumont | TX | 11/2019 | Present |
TRUSTEE FOR SPOUSE, INV RELATED, BEAUMONT, TX, START; 10/11/2008, 2 HRS/MONTH, 0 HRS DURING TRADING. RENTAL PROPERTY, INVT RELATED, SAN PEDRO, BELIZE, 100% OWNERSHIP, START DATE 1/1/2024, 1 HR PER MONTH, 0 HRS DURING TRADING, OWNER OF RENTAL PROPERTY.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1992-10-12 |
| S63 | Uniform Securities Agent State Law Examination | 1980-11-03 |
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