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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 |
|---|---|---|---|
| TX | RA | APPROVED | 2020-03-14 |
Branch Locations
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 |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Austin | TX | 11/1986 | 02/2020 |
| Bank Of America, N.A. | Austin | TX | 07/2011 | 02/2020 |
| Wells Fargo Clearing Services,Llc | Austin | TX | 02/2020 | Present |
TREASURE HUNTER, NOT INVT RELATED, MARTINDALE, TX, 100% OWNERSHIP, START DATE 3/26/2020, 5 HRS PER MONTH, 0 HRS DURING TRADING, OWNER, COLLECTIBLES TO BUY AND SELL. CO-TRUSTEE OF TRUST U/W OF FATHER; INV. RELATED; AUSTIN, TX; START DATE 7/2021; LESS THAN 1 HR PER MONTH; 0 HRS DURING TRADING.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1994-08-25 |
| S63 | Uniform Securities Agent State Law Examination | 1987-02-19 |
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