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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 |
|---|---|---|---|
| RI | RA | APPROVED | 2021-03-15 |
| NH | RA | APPROVED | 2021-03-02 |
| TX | RA | APPROVED | 2021-03-02 |
Branch Locations
91 Longwater Circle Ste 300, Norwell, MA 02061 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Hingham | MA | 09/2013 | 12/2018 |
| Stifel, Nicolaus & Company, Incorporated | Plymouth | MA | 12/2018 | 02/2021 |
| Wells Fargo Clearing Services, Llc. | Boston | MA | 02/2021 | Present |
NOTARY PUBLIC, NOT INVT RELATED, HOLBROOK, MA, NOTARY, START DATE 3/8/2021, 1 HR PER MONTH, 0 HRS DURING TRADING, NOTARIZE DOCUMENTS. NANA'S ATTIC TREASURES; INV RELATED; DUXBURY, MA; 100% OWNERSHIP; START 05/01/2024; 10 HOURS PER MONTH; 0 HOURS DURING TRADING; BUY AND SELL ANTIQUE ITEMS. UNIVERSAL LIFE CHURCH MINISTRIES, NOT INVT RELATED, SEATTLE, WA, RESIDENT CLERKY, START DATE 9/13/2024, 1 HR PER MONTH, 0 HRS DURING TRADING, WEDDING OFFICIATE.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2009-12-28 |
| S63 | Uniform Securities Agent State Law Examination | 1986-01-16 |
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