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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 |
|---|---|---|---|
| CO | RA | APPROVED | 2020-07-13 |
Branch Locations
1700 Lincoln St 10Th & 11Th Fls [Wealth Mgmt], Denver, CO 80203 • United States
101 Federal Pl Ste 101 [Regional Supervision], Tarpon Springs, FL 34689 • United States
Centennial, CO • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Clearing Services | Denver | CO | 11/2019 | Present |
| Wells Fargo Bank | Denver | CO | 11/2019 | Present |
| Bny Mellon Wealth Management | Denver | CO | 07/2014 | 11/2019 |
RENTAL PROPERTY; INV RELATED; AURORA, CO; 50% OWNERSHIP; START 08/01/2023; 0 HOURS PER MONTH; 0 HOURS DURING TRADING; DUTIES: NONE.; BAD MEDICINE TRANSITION CORPORATION; INV RELATED; 70% OWNERSHIP; START 08/01/2023; 0.5 HOURS PER MONTH; 0 HOURS DURING TRADING; DUTIES: PROPERTY MANAGER.; PIECES INC, INV RELATED, FORT COLLINS, CO, 100% OWNERSHIP, START: 1/1/24, 4 HRS PER MONTH, 0 HRS DURING TRADING, ELDERCARE; POWER OF ATTORNEY FOR FATHER, INV RELATED, DENVER, CO, START: 8/1/2024, 1 HOUR A MONTH, 0 HOURS DURING TRADING.; PERSONAL REPRESENTATIVE FOR SPOUSE'S ESTATE, INV RELATED, CENTENNIAL, CO, START: 8/1/2024, 3 HOURS A MONTH, 1 HOUR DURING TRADING.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2020-07-13 |
| S65 | Uniform Investment Adviser Law Examination | 1999-01-29 |
| S63 | Uniform Securities Agent State Law Examination | 1997-04-11 |
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