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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 | 2025-06-25 |
| NY | RA | APPROVED | 2021-07-27 |
Branch Locations
1211 Ave Of The Americas 27Th Fl, New York, NY 10036 • United States
New York, NY • United States
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 | New York | NY | 05/2009 | 11/2016 |
| Wells Fargo Clearing Services, Llc | New York | NY | 11/2016 | Present |
THE LEIGHTON HOUSE CONDOMINIUM ASSOCIATION, NOT INVESTMENT RELATED, NEW YORK, NY, BOARD MEMBER, START 2/19/2014, 3 HRS PER MO / 0 DURING TRADING, DUTIES: ADMIN OF CONDO ASSOCIATION. POWER OF ATTORNEY FOR SON, INV RELATED, NEW YORK, NY, START 05/24/2013, 0 HRS/MONTH, 0 HRS DURING TRADING. LOAN, INV RELATED, ATHENS, GREECE, START 5/12/2017, ZERO HOURS PER MONTH, ZERO DURING TRADING. POWER OF ATTORNEY FOR MOTHER, INV RELATED, BRONX, NY, START 10/15/2019, 1 HR/MONTH, 0 HRS DURING TRADING.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1993-08-05 |
| S63 | Uniform Securities Agent State Law Examination | 1988-11-04 |
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