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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 |
|---|---|---|---|
| MO | RA | APPROVED | 2018-09-19 |
| TX | RA | APPROVED_RES | 2018-09-13 |
Branch Locations
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 |
|---|---|---|---|---|
| Td Ameritrade | Saint Louis | MO | 11/2017 | 08/2018 |
| C. Richards Farm And Trucking Llc | Barnhart | MO | 12/2015 | 05/2021 |
| Plaza West Mercedes-Benz | Saint Charles | MO | 04/2017 | 07/2017 |
| Wells Fargo Clearing Services Llc | Frontenac | MO | 08/2018 | Present |
TRUSTEE FOR GRANDPARENTS TRUST, INV RELATED, CRYSTAL CITY, MO, START: 4/21/2023, 1 HOUR A MONTH, 0 HOURS DURING TRADING. OASIS INSTITUTE; INV RELATED; ST. ANN, MO; TREASURER; START DATE 1/1/2025; 2 HRS PER MONTH; 2 HRS DURING TRADING; ATTENDING MEETINGS, ENSURING MANAGEMENT MANAGES FUNDS, SECURITIES, ETC., SERVING AS LIAISON BETWEEN BOARD AND FINANCE COMMITTEE, AND KEEPING FULL AND ACCURATE ACCOUNT OF RECEIPTS AND DISBURSEMENTS IN BOOKS BELONGING TO THE ORGANIZATION. OASIS INSTITUTE; INV RELATED; ST. ANN, MO; FINANCE COMMITTEE; START DATE 1/1/2025; 3 HRS PER MONTH; 3 HRS DURING TRADING; ATTENDING MEETINGS, MONITOR FINANCIAL RECORDS, REVIEW FINANCIAL STATEMENTS TO BE PRESENTED TO THE BOARD, REVIEW ANNUAL BUDGET AND PRESENT TO THE BOARD FOR APPROVAL, MONITOR BUDGET IMPLEMENTATION, ANTICIPATE FINANCIAL PROBLEMS, AND HELP THE BOARD UNDERSTAND OASIS FINANCES.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2018-09-13 |
| S63 | Uniform Securities Agent State Law Examination | 2018-01-11 |
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