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Current Employers
Wells Fargo Clearing Services, Llc

One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States

Current Registrations

AuthorityCategoryStatusDate
MO RA APPROVED 2019-10-17
TX RA APPROVED 2019-10-17
  • MO RA
    APPROVED
    Since 2019-10-17
  • TX RA
    APPROVED
    Since 2019-10-17

Branch Locations

190 Carondelet Plz Ste 800, Clayton, MO 63105 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Stifel, Nicolaus & Company, Incorporated St Louis MO 07/1998 10/2019
Wells Fargo Clearing Services Llc St. Louis MO 10/2019 Present
Previous Registrations
Other Businesses

PROFESSIONAL LICENSES, NOT INVT RELATED, JEFFERSON CITY, MO, MISSOURI BAR LICENSE, START DATE 10/10/1997, 0 HRS PER MONTH, 0 HRS DURING TRADING, NO ACTIVE DUTIES.; TRUSTEE FOR BUSINESS PARTNERS 3 CHILDREN, INV RELATED, ELLISVILLE, MO, START: 7/1/2020, 0 HRS/MONTH, 0 HRS DURING TRADING.; VILLAS OF GRAND GLAIZE HOMEOWNERS ASSOCIATION INC. NOT INV. RELATED; OSAGE BEACH, MO; BOARD MEMBER; HOA; START DATE 8/5/2023; 3 HRS PER MONTH; 0 HRS DURING TRADING; DUTIES ATTEND MEETINGS, DISCUSS ISSUES RELATED TO THE NEIGHBORHOOD. CO-TRUSTEE FOR MOTHER'S TRUST, INV RELATED, WILDWOOD, MO, START: 10/10/2023, 5 HOURS A MONTH, 0 HOURS DURING TRADING.; CO-TRUSTEE FOR MOTHER'S TRUST FBO NIECE, INV RELATED, ST. LOUIS, MO, START: 9/9/2024, 2 HOURS A MONTH, 0 HOURS DURING TRADING.; CO-TRUSTEE FOR MOTHER'S TRUST FBO NIECE, INV RELATED, ST. LOUIS, MO, START: 9/9/2024, 2 HOURS A MONTH, 0 HOURS DURING TRADING. | VILLAS OF GRAND GLAIZE HOMEOWNERS' ASSOCIATION INC; INV RELATED; OSAGE BEACH, MO; PRESIDENT; 04/2025; 4 HOURS PER MONTH; 0 DURING TRADING; HOA | VILLAS OF GRAND GLAIZE HOMEOWNERS' ASSOCIATION, INC; INV RELATED; OSAGE BEACH, MO; BOARD MEMBER; 05/2025; 3 HOURS PER MONTH; 0 DURING TRADING; HOA FOR VILLA COMMUNITY

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-08-16
S63 Uniform Securities Agent State Law Examination 1989-01-17
  • S65 Uniform Investment Adviser Law Examination
    1999-08-16
  • S63 Uniform Securities Agent State Law Examination
    1989-01-17
Designations

View on SEC IAPD

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