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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 |
|---|---|---|---|
| AL | RA | APPROVED | 2021-08-19 |
| TX | RA | APPROVED | 2021-08-18 |
Branch Locations
41 W I-65 Service Road N Ste 220, Mobile, AL 36608 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc. | New Orleans | LA | 05/2014 | 08/2021 |
| Wells Fargo Clearing Services, Llc. | Mobile | AL | 08/2021 | Present |
1. KANO CLINICAL LLC, NOT INV RELATED, MOBILE, AL, 30% OWNERSHIP, START 4/9/2020, 10 HOURS PER MONTH, ZERO HOURS DURING TRADING, MEDICAL INDUSTRY SOFTWARE DEVELOPMENT. 2. KANO PERFORMANCE LLC, NOT INV RELATED, MOBILE, AL, 24% OWNERSHIP, START 4/9/2020, 20 HOURS PER MONTH, 1 HOUR DURING TRADING, EDUCATIONAL AND SPORTS SOFTWARE DEVELOPMENT. 3. WING MARKETING LLC, NOT INV RELATED, MOBILE, AL, 100% OWNERSHIP, START 4/9/2010, 20 HOURS PER MONTH, 1 HOUR DURING TRDAING, MARKETING CONSULTING WITH KANO CLINICAL AND KANO PERFORMANCE. 4. TRUSTEE OF TRUST FBO SELF; INV. RELATED; MOBILE, AL; START DATE 10/2010; 0 HRS PER MONTH.; 5. TRUSTEE FOR FATHER'S TRUST, INV RELATED, MOBILE, AL, START: 2/16/2023, 1 HOUR A MONTH, 0 HOURS DURING TRADING. 6. CANAAN ELECTRIC , NOT INV RELATED, MOBILE, AL, 100% OWNERSHIP, START 4/5/2024, 4 HOURS PER MONTH, ZERO HOURS DURING TRADING, ELECTRIAL SERVICES ADMINISTRATIVE WORK.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-07-12 |
| S63 | Uniform Securities Agent State Law Examination | 1999-07-06 |
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