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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 | 2012-01-24 |
| FL | RA | APPROVED | 2010-05-17 |
Branch Locations
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 Financial Network Llc | Sarasota | FL | 05/2010 | Present |
NWM21 LLC, INV RELATED, SARASOTA, FL, 100% OWNERSHIP, START 12/17/2021, 160 HOURS PER MONTH, 160 HOURS DURING TRADING, FINET PRACTICE.| CAPSTAN FINANCIAL LEGACY LLC; INV. RELAED; 2.5% OWNERSHIP; PASS THROUGH LLC FOR FINET PRACTICE; START DATE 12/18/2023; 2 HRS PER MONTH; 0 HRS DURING TRADING; DUTIES: ADMINISTRATION OF PASS THROUGH LLC.| CAPSTAN FINANCIAL HOLDINGS LLC; INV RELATED; SARASOTA, FL; LLC FOR FINET PRACTICE; 2.5% OWNERSHIP; START DATE 05/07/2010; 40 HOURS PER MONTH; 40 HOURS DURING TRADING| CAPSTAN GROWTH PARTNERS, LLC; INV RELATED; SARASOTA, FL; MERCHANT CASH & STOCK AGREEMENT; 5% OWNERSHIP; START DATE 03/28/2025; 20 HOURS PER MONTH; 20 HOURS DURING TRADING| NWM21 HOLDINGS, LLC; INV RELATED; SARASOTA, FL; FORMED TO SELL TO CAPSTAN GROWTH; 90% OWNERSHIP; START DATE 03/28/2025; 5 HOURS PER MONTH; 0 HOURS DURING TRADING| CAPSTAN INSURANCE CONSULTING LLC; INV RELATED; SARASOTA, FL; 2% OWNERSHIP; START DATE 05/02/2025; 5 HOURS PER MONTH; 0 HOURS DURING TRADING
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2000-12-27 |
| S63 | Uniform Securities Agent State Law Examination | 1999-12-08 |
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