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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 |
|---|---|---|---|
| CT | RA | APPROVED | 2024-08-08 |
Branch Locations
40 Beach Street Suite 202, Manchester By The Sea, MA 01944 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | Beverly | MA | 10/2010 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Beverly | MA | 11/2016 | 08/2024 |
| Wells Fargo Advisors Financial Network, Llc | Manchester By The Sea | MA | 08/2024 | Present |
THE B C D GROUP LLC; INV RELATED; MANCHESTER, MA; 10% OWNERSHIP; START 03/15/2024; 160 HOURS PER MONTH; 0 HOURS DURING TRADING; FINET TRANSITION. LAD FINANCIAL INC; INV RELATED; MARBLEHEAD, MA; 100% OWNERSHIP; START 08/09/2024; 160 HOURS PER MONTH; 100 HOURS PER MONTH; FINET TRANSITION.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2010-12-29 |
| S65 | Uniform Investment Adviser Law Examination | 1995-12-08 |
| S63 | Uniform Securities Agent State Law Examination | 1989-07-07 |
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