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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 |
|---|---|---|---|
| NC | RA | APPROVED | 2025-11-12 |
Branch Locations
One North Jefferson Avenue H0004-05C, St. Louis, MO 63103 • UNITED STATES
6000 Fairview Rd Ste 800, Charlotte, NC 28210 • United States
One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| OH | RA | APPROVED | 2023-03-16 |
| NC | RA | APPROVED | 2019-01-29 |
Branch Locations
6000 Fairview Rd Ste 800, Charlotte, NC 28210 • United States
One North Jefferson Avenue Mail Code: H0004-05G, St. Louis, MO 63103 • UNITED STATES
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| W&S Brokerage Services | Cary | NC | 08/2017 | 07/2018 |
| Western & Southern Life | Cary | NC | 11/2015 | 07/2018 |
| Fonville Morisey Realty | Durham | NC | 08/2007 | 08/2018 |
| Wells Fargo Bank Na | Fuquay Varina | NC | 08/2018 | Present |
| Wells Fargo Clearing Services Llc | Fuquay Varina | NC | 08/2018 | Present |
EXECUTOR FOR GRANDMOTHER'S ESTATE, INV RELATED, WINSTON SALEM, NC, START: 9/28/2019, 10 HRS/MONTH, 10 HRS DURING TRADING. REAL ESTATE LICENSE; NOT INV RELATED; STATE OF NORTH CAROLINA; START 9/10/2019; NUMBER OF HOURS PER MONTH 0; NUMBER OF HOURS DURING TRADING 0; NO DUTIES.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2019-01-28 |
| S63 | Uniform Securities Agent State Law Examination | 2017-10-25 |
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