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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 |
|---|---|---|---|
| MO | RA | APPROVED | 2024-10-22 |
| KS | RA | APPROVED | 2024-03-04 |
Branch Locations
American Century Tower 2 4520 Main Street 620 [Satellite], Kansas City, MO 64111 • United States
3400 College Blvd Suite 100, Leawood, KS 66211 • 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 |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | Oakland Park | KS | 10/2010 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Oakland Park | KS | 11/2016 | 03/2024 |
| Wells Fargo Advisors Financial Network, Llc | Kansas City | MO | 03/2024 | Present |
CATHOLIC DIOCESE OF KANSAS CITY ST. JOSEPH, INV RELATED, KANSAS CITY, MO, INVESTMENT COMMITTEE MEMBER, START 10/27/2022, 2 HOURS PER MONTH, 0 HOURS DURING TRADING, MEETING WITH INVESTMENT MANAGER AND THE DESIGNATED FIDUCIARY FOR THE FUNDS, REVIEWING PERFORMANCE REPORTS, MONITORING FOR ADHERENCE TO DIOCESAN POLICIES AND INVESTMENT GUIDELINES, AND MAKING RECOMMENDATIONS ON THE INVESTMENT MANAGERS PROPOSED CHANGES FOR THE BISHOP TO MAKE THE FINAL DECISIONS. CATHOLIC DIOCESE OF KANSAS CITY ST. JOSEPH, INV RELATED, KANSAS CITY, MO, FINANCE COUNCIL MEMBER, START 7/3/2023, 2 HOURS PER MONTH, ZERO HOURS DURING TRADING, REVIEWING BUDGET, ANNUAL AUDIT, AND ADVISING THE BISHOP. SHEPARD WEALTH ADVISORS, LLC, INVT RELATED, KANSAS CITY, MO, 100% OWNERSHIP, START DATE 3/1/2024, 40 HRS PER MONTH, 0 HRS DURING TRADING, FINET PRACTICE.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1992-03-06 |
| S63 | Uniform Securities Agent State Law Examination | 1982-02-01 |
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