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501 N Broadway, St Louis, MO 63102 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| OK | RA | APPROVED | 2018-09-07 |
Branch Locations
6301 Waterford Boulevard, Oklahoma City, OK 73118 • United States
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 |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | Oklahoma City | OK | 05/2009 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Oklahoma City | OK | 11/2016 | 09/2018 |
| Stifel Nicolaus & Co Inc | Oklahoma City | OK | 09/2018 | Present |
FINRA; INVESTMENT RELATED; WASHINGTON, DC; ARBITRATOR; 03/11/1998; 10.00 Hour(s) Per Year - may be during securities trading hours;
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1994-06-14 |
| S63 | Uniform Securities Agent State Law Examination | 1986-11-14 |
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