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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 | 2016-06-30 |
| AZ | RA | APPROVED | 2009-09-11 |
Branch Locations
3945 E. Paradise Falls Dr Ste 261, Tucson, AZ 85712 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors Financial Network Llc | Tucson | AZ | 09/2009 | Present |
LEGACIES UNLIMITED, LLC; INV RELATED; TUCSON, AZ; 30% PASSIVE INTEREST IN GALLO TRANSMISSION AND AUTO CARE, LLC; 100% OWNERSHIP WITH SPOUSE; START 9/2015; 0 HOURS PER MONTH, 0 DURING TRADING; NO DUTIES. GALLO TRANSMISSION AND AUTO CARE LLC; INV. RELATED; TUCSON, AZ; AUTO CARE BUSINESS; 30% OWNERSHIP BY LEGACIES UNLIMITED LLC; START DATE 9/2015; 0 HRS PER MONTH; DUTIES NONE, PASSIVE. TRUSTEE OF FINET 401K PLAN FBO SELF; INV RELATED; TUCSON, AZ; START DATE 1/2016; 1 HR PER MONTH; 1 HR DURING TRADING. TRUSTEE OF FINET 401K PLAN; INV RELATED; TUCSON, AZ; START DATE 2015; 1 HR PER MONTH; 1 HR DURING TRADING. ROGER STUBBS LLC, INV RELATED, TUCSON, AZ, 100% OWNERSHIP, START 12/15/2014, 200 HOURS PER MONTH, 200 HOURS DURING TRADING, FINET PRACTICE. TRUSTEE OF FINET 401K PLAN FBO SPOUSE; INV RELATED; TUCSON, AZ; START DATE 11/2021; 1 HR PER MONTH; 1 HR DURING TRADING.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2005-09-27 |
| S63 | Uniform Securities Agent State Law Examination | 1989-06-28 |
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