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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_RES | 2024-03-04 |
| NY | RA | APPROVED | 2021-07-27 |
| NJ | RA | APPROVED | 2010-03-02 |
Branch Locations
1225 Franklin Ave Suite 325 Office #9 [Satellite], Garden City, NY 11530 • United States
630 Johnson Ave Suite 103, Bohemia, NY 11716 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors Financial Network Llc | Great Neck | NY | 02/2010 | Present |
DANNY SHUM, INC.; INV. RELATED; GREAT NECK, NY; 100% OWNERSHIP; START DATE 7/7/2022; 10 HRS PER MONTH; 1 HR DURING TRADING. FINET PRACTICE. B AND D PARTNERS; INV. RELATED; GREAT NECK, NY; 50% OWNERSHIP; USED FOR FINET BUSINESS TO PAY MONTHLY EXPENSES; START DATE 4/18/19; 15 HRS PER MONTH; 1 HR DURING TRADING; DUTIES: MANAGE DAY TO DAY DUTIES OF B AND D PARTNERS.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2004-09-30 |
| S63 | Uniform Securities Agent State Law Examination | 1988-06-03 |
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