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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
CT RA APPROVED 2023-03-10
  • CT RA
    APPROVED
    Since 2023-03-10

Branch Locations

274 Riverside Ave [Satellite], Westport, CT 06880 • United States

1700 E Putnam Ave Ste 200, Old Greenwich, CT 06870 • 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 No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination Yes
Employment History
OrganizationCityStateFromTo
Wells Fargo Advisors Llc Westport CT 05/2009 11/2016
Wells Fargo Clearing Services, Llc Westport CT 11/2016 03/2023
Wells Fargo Advisors Financial Network, Llc Old Greenwich CT 03/2023 Present
Previous Registrations
Other Businesses

RENTAL PROPERTY(VACATION CONDO/TIMESHARE); INV RELATED; WEST DOVER, VT; 100% OWNERSHIP WITH SPOUSE OF 13 WEEKS PRIVILEGED STAY; START: 04/01/2012; HOURS: 0 PER MONTH - 0 DURING TRADING; DUTIES: NONE; WEEKS RENTED THROUGH HOTEL. BELSCREEK, INC, INVT RELATED, STRATFORD, CT, 100% OWNERSHIP, START DATE 5/1/2023, 1 HR PER MONTH, 0 HRS DURING TRADING, CASH AND TAX MANAGEMENT OF FINET PRACTICE.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1988-10-06
  • S63 Uniform Securities Agent State Law Examination
    1988-10-06

View on SEC IAPD

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