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501 N Broadway, St Louis, MO 63102 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| PA | RA | APPROVED | 2020-06-05 |
| TX | RA | APPROVED | 2020-05-29 |
Branch Locations
3701 Corporate Parkway Suite 110, Center Valley, PA 18034 • 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 | Allentown | PA | 05/2009 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Allentown | PA | 11/2016 | 05/2020 |
| Stifel Nicolaus & Co Inc | Center Valley | PA | 05/2020 | Present |
1. Society of Seniors; 1373 Grandview Ave. #211, Columbus, OH 43212; Senior National Golf Organization; Board of Governors; Membership Committee; 01/01/2020; 1 Hours per Week; Not During Securities Trading Hours; Not Investment-Related. 2. Rental Property; 420 Grandview Blvd, Bethlehem, PA 18018; Rental Property; Owner; 04/01/2019; 0 Hours per Day; Not During Securities Trading Hours; Investment-Related. 3. The Society of Seniors; 2130 Arlington Ave., Columbus, OH 43221; The SOS is a senior golf organization. approx 850-950 members. NON Profit. They execute /run golf tournaments around the country; Treasurer; oversee the director of the SOS financial duties. They may put me on a checking account as well. Authorize payments; 01/01/2021; 2 Hours per Week; Not During Securities Trading Hours; Not Investment-Related.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1994-12-13 |
| S63 | Uniform Securities Agent State Law Examination | 1984-03-23 |
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