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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 |
|---|---|---|---|
| ND | RA | APPROVED | 2024-03-19 |
| MN | RA | APPROVED | 2024-03-01 |
| OK | RA | APPROVED | 2022-09-15 |
| TX | RA | APPROVED | 2016-10-12 |
Branch Locations
4501 Coleman St, Ste 204 [Oi-Rbo], Bismarck, ND 58503 • United States
4501 Coleman St Ste 204, Bismarck, ND 58503 • United States
950 Wayzata Blvd Ste 200 [Gp-Rbo], Wayzata, MN 55391 • United States
950 E Wayzata Blvd Ste 200, Wayzata, MN 55391 • 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 |
|---|---|---|---|---|
| Oppenheimer & Co. Inc. | San Francisco | CA | 04/2015 | 10/2016 |
| Wells Fargo Advisors, Llc | Fort Worth | TX | 10/2016 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Fort Worth | TX | 11/2016 | Present |
CRESTLINE AREA NEIGHBORHOOD ASSOCIATION, NOT INV RELATED, FORT WORTH, TX, BOARD MEMBER, START 4/1/2020, 2 HOURS PER MONTH, ZERO DURING TRADING, DISCUSSING ZONING, NOISE ISSUES, PARKING, LANDSCAPING, BUDGET, AND NEIGHBORHOOD ISSUES. CATHLEEN ROCHE INTERIORS, NOT INVT RELATED, FORT WORTH, TX, 100% OWNERSHIP BY SPOUSE, START DATE 6/22/2020, 1 HR PER MONTH, 0 HRS DURING TRADING, HELPING WITH BOOKS. SALVATION BY GRACE, LLC, INVT RELATED, FORT WORTH, TX, 100% OWNERSHIP WITH SPOUSE, START DATE 6/12/2020, 2 HRS PER MONTH, 0 HRS DURING TRADING, OWNER WITH SPOUSE TO DISCUSS REAL ESTATE PROPERTY INVESTMENTS.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1992-08-27 |
| S63 | Uniform Securities Agent State Law Examination | 1983-04-19 |
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