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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 |
|---|---|---|---|
| SC | RA | APPROVED | 2025-06-05 |
Branch Locations
301 Main St, Seneca, SC 29678 • United States
15 S Main St Ste 300 [Rbo], Greenville, SC 29601 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Student | Lynden | WA | 08/2015 | 06/2016 |
| Colony House Furniture | Lynden | WA | 06/2016 | 08/2016 |
| Student | Lynden | WA | 08/2016 | 06/2017 |
| Colony House Furniture | Lynden | WA | 06/2017 | 08/2017 |
| Student | Lynden | WA | 08/2017 | 06/2018 |
| Colony House Furniture | Lynden | WA | 06/2018 | 08/2018 |
| Student | Lynden | WA | 08/2018 | 06/2019 |
| Little Caesars | Everson | WA | 12/2018 | 09/2020 |
| Student | Lynden | WA | 08/2019 | 06/2020 |
| Tiki Hut | Seneca | SC | 09/2020 | 10/2023 |
| The Cliffs At Keowee Springs | Six Mile | SC | 01/2022 | 06/2024 |
| Northwestern Mutual Life Insurance Company | Milwaukee | WI | 05/2024 | 11/2024 |
| Northwestern Mutual Investment Services Llc | Greenville | SC | 07/2024 | 11/2024 |
| Wells Fargo Clearing Services, Llc | Seneca | SC | 04/2025 | Present |
| Wells Fargo Bank, Na | Seneca | SC | 04/2025 | Present |
| New Rez Llc. | Greenville | SC | 12/2024 | 04/2025 |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2025-06-05 |
| S63 | Uniform Securities Agent State Law Examination | 2025-05-16 |
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