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6565 Main Street, Williamsville, NY 14221 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2021-06-29 |
| NY | RA | APPROVED | 2021-05-17 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | Buffalo | NY | 05/2009 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Buffalo | NY | 11/2016 | 05/2021 |
| Northcape Wealth Management, Llc | Williamsville | NY | 05/2021 | Present |
1. ERIE & NIAGARA INSURANCE, INV RELATED, NATURE OF BUSINESS: MUTUAL INSURANCE CO., DIRECTOR, START 1999, TIME SPENT: 2 HRS. PER MONTH. 2. 2RIDGE LLC, INV RELATED, NATURE OF BUSINESS: PATENTS, INVESTOR, START 2023
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2008-06-30 |
| S66 | Uniform Combined State Law Examination | 2007-04-10 |
| S63 | Uniform Securities Agent State Law Examination | 1995-07-17 |
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