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501 N Broadway, St Louis, MO 63102 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2020-12-18 |
| MI | RA | APPROVED | 2020-11-18 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | Midland | MI | 05/2009 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Midland | MI | 11/2016 | 11/2020 |
| Stifel Nicolaus & Co Inc | Midland | MI | 11/2020 | Present |
1. DB Whitetails LLC; 3657 E Felicia, Midland, MI 48642; Hunting Leases; Owner; 01/15/2015; 1 Hour per Month; Not During Securities Trading Hours; Not Investment-Related. 2. Physician Associates of MidMichigan Community Medical Foundation; 9479 Buckingham Circle, Laingsburg, MI 48848; Non-Profit Community Medical Foundation; Board of Directors; Managing the Board; 06/01/2021; 5 Hours per Quarter; Not During Securities Trading Hours; Not Investment-Related. 3. Honor Rental; 3657 E. Felicia, Midland, MI 48642; Vacation house rental; Owner; 6/1/23; 2 hr/mo; Not During Securities Trading Hours; Investment-Related
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1996-03-05 |
| S63 | Uniform Securities Agent State Law Examination | 1986-05-08 |
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