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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 |
|---|---|---|---|
| FL | RA | APPROVED | 2021-05-27 |
Branch Locations
1675 N Military Trail Ste 500, Boca Raton, FL 33486 • 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 |
|---|---|---|---|---|
| Bank Of America, Na | Boca Raton | FL | 09/2009 | 05/2021 |
| Wells Fargo Clearing Services, Llc. | Boca Raton | FL | 05/2021 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1992-12-07 |
| S63 | Uniform Securities Agent State Law Examination | 1985-06-19 |
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