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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 |
|---|---|---|---|
| OH | RA | APPROVED | 2026-08-19 |
Branch Locations
7335 Crossleigh Court Ste 300 [Satellite], Toledo, OH 43617 • United States
27599 Riverview Center Blvd Suite 120 1St Fl, Bonita Springs, FL 34134 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Citizens Securities Inc | Toledo | OH | 06/2015 | 01/2018 |
| Citizens Bank | Toledo | OH | 06/2015 | 01/2018 |
| Nylife Securities Llc | Maumee | OH | 01/2018 | 01/2021 |
| New York Life Insurance Co. | Maumee | OH | 01/2018 | 02/2021 |
| Ebf, Llc D/B/A Evans, Beebe & Fields Financial Group | Maumee | OH | 04/2018 | 01/2021 |
| Eagle Strategies Llc | Maumee | OH | 01/2020 | 02/2021 |
| Ubs Financial Services Inc. | Sylvania | OH | 02/2021 | 04/2026 |
| Wells Fargo Advisors Financial Network, Llc | Toledo | OH | 04/2026 | Present |
[Regina Coeli Church; Member church finance council; 600 Regina Pkwy Toledo, OH 43612; Start Date 05/2015; Role/Title: Member;Review the Parish's finances and make sure sure the budget is balanced/Not Investment Related; 5 hours per month; 0 hours per month during securities trading hours] Booster President; 600 Regina Pkwy Toledo, OH 43612; Start Date 05/2019; Role/Title: Member; Not Investment Related;Help with sports sponsored activities./ 4 hours per month; 0 hours per month during securities trading hours] 3) NAME OF OTHER BUSINESS: Advancement Committee / INVESTMENT RELATED?:N/ ADDRESS: 3535 W Sylvania Ave, Toledo,Ohio/ NATURE OF THE BUSINESS: provide advancement to the students of Notre Dame Academy / POSITION:Advisor or advisory group member if advice given may influence an officer/board/ DUTIES:Advisor or advisory group member if advice given may influence an officer/board / START DATE: 1/1/2023/ HOURS DEVOTED TO BUSINESS:NA
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2017-10-02 |
| S63 | Uniform Securities Agent State Law Examination | 2015-11-20 |
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