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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_RES | 2016-08-11 |
| AL | RA | APPROVED | 2009-04-23 |
Branch Locations
2700 Highway 280 S Ste 245E, Mountain Brk, AL 35223 • 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 |
|---|---|---|---|---|
| Wachovia Securities Financial Network, Llc | Vestavia Hills | AL | 04/2009 | Present |
FRITZE PROPERTY, LLC, INV RELATED, AUBURN AL, 100% OWNERSHIP, START: 08/15/2014, HOURS: 0 PER MONTH- 0 DURING TRADING, DUTIES: LANDLORD FRITZE FINANCIAL, INV RELATED, MOUNTAIN BROOK, AL, 100% OWNERSHIP, START: 04/01/2009, 15 HRS/MONTH, 2 HRS DURING TRADING. STUBBS ISLAND HUNTING CLUB, NOT INVT RELATED, CHATTANOOGA, TN, 4.5% OWNERSHIP, START DATE 1/1/2015, 0 HRS PER MONTH, 0 HRS DURING TRADING, HUNTING CLUB, NO ROLE.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2000-05-25 |
| S63 | Uniform Securities Agent State Law Examination | 1983-08-30 |
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