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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 |
|---|---|---|---|
| TX | RA | APPROVED | 2018-08-30 |
| TN | RA | APPROVED | 2018-08-09 |
Branch Locations
265 Brookview Centre Way Ste 100, Knoxville, TN 37919 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Raymond James & Associates | Knoxville | TN | 02/2017 | 06/2018 |
| Clayton Bank And Trust | Knoxville | TN | 01/2012 | 01/2017 |
| Wells Fargo Clearing Services, Llc | Knoxville | TN | 08/2018 | Present |
THE FRIENDS OF THE KNOW COUNTY LIBRARY, INV RELATED, KNOXVILLE, TN, INVESTMENT COMMITTEE MEMBER, START 1/23/2019, 1 HOUR PER MONTH, ZERO DURING TRADING, ATTENDING MEETINGS TO HEAR FROM THE MONEY MANAGER REGARDING INVESTMENT PERFORMANCE, PROVIDING OVERSIGHT BY REVIEWING REPORTS ON AMOUNTS TO BE INVESTED, BALANCES TO BE MAINTAINED, AND FUND WITHDRAWAL BASED ON ORGANIZATION OBJECTIVES. KNOX COUNTY PARKS & RECREATION ADVISORY BOARD; NOT INV. RELATED; KNOXVILLE, TX; BOARD MEMBER; START DATE 3/2019; 1 HR PER MONTH; 1 HR DURING TRADING; DUTIES: PROVIDING FEEDBACK ON THE RECREATION PROGRAMS. KEEPING TRACK OF THE TROOPS INCOME FROM FUNDRAISERS, DONATIONS, EXPENSES, KEEPING LEDGERS FOR EACH UNIT WITHIN THE TROOP, AND ATTENDING MEETINGS TO REVIEW THE INVESTMENT FIRM'S INVESTMENTS TO ENSURE COMPLIANCE WITH INVESTMENT POLICY SET FORTH BY THE BOARD.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2017-03-16 |
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