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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 |
|---|---|---|---|
| AR | RA | APPROVED | 2013-05-10 |
| TX | RA | APPROVED | 2013-05-10 |
Branch Locations
175 Harmony Park Ste A, Hot Springs, AR 71913 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | Hot Springs | AR | 05/2013 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Hot Springs | AR | 11/2016 | Present |
1. TKZ LLC; INV RELATED; HOT SPRINGS, AR; REAL ESTATE / DEVELOP HISTORIC BUILDINGS; 60% OWNERSHIP; START 5/15/2014; 4 HRS PER MONTH; 0 HRS DURING TRADING. 3. THOMPSON BUILDING MASTER TENANT LLC, INV RELATED, HOT SPRINGS, AR, 60% OWNER, START 10/2/2015, 1 HOUR PER MONTH/0 DURING TRADING, REHABILITATION AND CONSTRUCTION OF HISTORICAL HOTEL. 4. TKZ MANAGER, LLC, INV RELATED, HOT SPRINGS, AR, 60% OWNER, START 10/2/2015, 1 HOUR PER MONTH/0 DURING TRADING, DUTIES: HOLDS LLC FOR TKZ LLC STRUCTURE AND REHABILITATION OF HISTORICAL HOTEL. 5. ARKANSAS COMMUNITY FOUNDATION; INV RELATED; LITTLE ROCK, AR; FINANCE COMMITTEE MEMBER; START 11/7/2022; .5 HOURS PER MONTH; .5 HOURS DURING TRADING; DISCUSS THE REPORTS FROM THE INVESTMENT CONSULTANTS WHO ARE RESPONSIBLE FOR OVERSEEING, HIRING, AND FIRING THE INVESTMENT MANAGERS THAT MANAGE THE POOL, AND REVIEWING AND APPROVING THE BUDGET THAT IS PREPARED BY THE STAFF. 6. NOTJUSTTALKING, LLC; INV RELATED; HOT SPRINGS, AR; 60% OWNERSHIP; START 12/1/2020; NUMBER F HOURS PER MONTH 2; NUMBER OF HOURS DURING TRADING 0; HOLDS REAL ESTATE. 7. LOFTS ON CENTRAL LLC, INV RELATED, HOT SPRINGS, AR, 100% OWNERSHIP WITH SPOUSE, START 1/31/2023, 2 HOURS PER MONTH, ZERO HOURS DURING TRADING, HOLDS RENTAL PROPERTY. 8. COMMERCIAL RENTAL PROPERTY, INV RELATED, HOT SPRINGS, AR, 100% OWNERSHIP, START 4/1/2023, 4 HOURS PER MONTH, ZERO HOURS DURING TRADING, OVERSIGHT OF PROPERTY. KRESS BUILDING LLC, INV RELATED, HOT SPRINGS, AR, 100% OWNERSHIP, START DATE: 8/15/23, 4 HRS PER MONTH, 0 HRS DURING TRADING, REAL ESTATE AND RENTAL OWNERSHIP. GARLAND COUNTY QUORUM COURT -JUSTICE OF THE PEACE DISTRICT 6; INV RELATED; HOT SPRINGS, AR; COUNTY BUSINESS; START DATE: 01/01/2027; 4 HRS PER MONTH; 0 HRS DURING TRADING; |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1996-11-15 |
| S63 | Uniform Securities Agent State Law Examination | 1987-06-12 |
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