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Current Employers
Wells Fargo Advisors Financial Network, Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2026-03-04
WY RA APPROVED 2026-03-03
  • TX RA
    APPROVED_RES
    Since 2026-03-04
  • WY RA
    APPROVED
    Since 2026-03-03

Branch Locations

Teton Village, WY • United States

One N Jefferson Ave, St. Louis, MO 63103 • United States

Disclosures

2 disclosure categories 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.

  • Regulatory action No
  • Criminal Yes
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Ubs Financial Services Inc. Wayzata MN 03/1993 03/2026
Wells Fargo Advisors Financial Network, Llc Wayzata MN 03/2026 Present
Previous Registrations
Other Businesses

NORTH HOBACKS CAPITAL, LLC; INV RELATED;TETON VILLAGE,WY; LLC;100% OWNERSHIP; START DATE: 03/03/2026; 160 HRS PER MONTH; 160 HRS DURING TRADING;

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-12-21
S63 Uniform Securities Agent State Law Examination 1988-02-03
  • S65 Uniform Investment Adviser Law Examination
    1998-12-21
  • S63 Uniform Securities Agent State Law Examination
    1988-02-03

View on SEC IAPD

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