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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 |
|---|---|---|---|
| NM | RA | APPROVED | 2026-03-19 |
Branch Locations
770 Saint Michaels Dr, Santa Fe, NM 87505 • United States
221 N Kansas St 1St Fl [Tf*/Tk-Rbo], El Paso, TX 79901 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Tiaa-Cref Individual & Institutional Services, Llc | Santa Fe | NM | 03/2017 | 03/2025 |
| Tiaa | Santa Fe | NM | 03/2017 | 03/2025 |
| Advenimiento Tv Inc. | Irving | TX | 09/2014 | 01/2017 |
| Unemployed | Grand Prairie | TX | 01/2017 | 03/2017 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Santa Fe | NM | 04/2025 | 01/2026 |
| Bank Of America, N.A. | Santa Fe | NM | 05/2025 | 01/2026 |
| Wells Fargo Clearing Services, Llc | Santa Fe | NM | 02/2026 | Present |
| Wells Fargo Bank, Na | Santa Fe | NM | 02/2026 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2019-06-17 |
| S63 | Uniform Securities Agent State Law Examination | 2017-04-29 |
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