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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 |
|---|---|---|---|
| MI | RA | APPROVED | 2021-10-13 |
| TX | RA | APPROVED | 2021-10-13 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Saginaw | MI | 11/1989 | 09/2021 |
| Bank Of America, N.A. | Saginaw | MI | 12/2009 | 09/2021 |
| Wells Fargo Clearing Services, Llc | Saginaw | MI | 09/2021 | Present |
UNDERGROUND RAILROAD, INC, INVT RELATED, SAGANAW, MI, VICE CHAIR OF BOARD OF DIRECTORS, START DATE 4/8/2022, 8 HRS PER MONTH, 0 HRS DURING TRADING, ATTENDING AND RUNNING MEETINGS WHEN PRESIDENT IS NOT AVAILABLE, REVIEWING FUNDRAISING EVENTS, DISCUSSING CULTIVATION AND APPRECIATION OF DONORS, ACTIVITIES IN THE SHELTER WITH HOUSING, LEGAL ASSISTANCE, RE-SALE SHOP, BUDGETS, GRANTS, AND OVERSIGHT OF THE ORGANIZATION.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2010-07-02 |
| S63 | Uniform Securities Agent State Law Examination | 1985-03-15 |
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