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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2019-06-28 |
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 |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | Plano | TX | 05/2009 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Plano | TX | 11/2016 | 06/2019 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Frisco | TX | 06/2019 | Present |
| Bank Of America, N.A. | Frisco | TX | 08/2019 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-04-15 |
| S63 | Uniform Securities Agent State Law Examination | 1989-06-23 |
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