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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
TX RA APPROVED_RES 2023-11-27
AL RA APPROVED 2022-11-10
  • TX RA
    APPROVED_RES
    Since 2023-11-27
  • AL RA
    APPROVED
    Since 2022-11-10

Branch Locations

826 Bank St Ne, Decatur, AL 35601 • 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 Yes
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Morgan Stanley Smith Barney Florence AL 06/2011 02/2019
Morgan Stanley Private Bank, National Association New York NY 01/2015 02/2019
Wells Fargo Clearing Services, Llc Huntsville AL 02/2019 11/2022
Wells Fargo Advisors Financial Network, Llc Decatur AL 11/2022 Present
Previous Registrations
  • 2019-02-15 → 2022-11-09
    Florence, AL
    Huntsville, AL
    Decatur, AL
    Decatur, AL
    Florence, AL
  • 2011-06-29 → 2019-02-19
    Decatur, AL
    Florence, AL
    Decatur, AL
    Florence, AL
  • 2007-02-13 → 2011-07-11
    Morgan Keegan & Company, Llc
    Florence, AL
    Decatur, AL
  • 2003-07-10 → 2007-02-20
    Amsouth Investment Management Company Llc
    Birmingham, AL
  • 2003-02-19 → 2003-09-08
    Amsouth Investment Services, Inc.
    Florence, AL
    Florence, AL
    Muscle Shoals, AL
    Florence, AL
Other Businesses

FOX CREEK FARMS LLC, INV RELATED, TRINITY, AL, 17% OWNERSHIP, START 5/1/2018, ZERO HOURS PER MONTH, ZERO DURING TRADING, FAMILY FARM JLG FARMS, INV RELATED, DECATUR, AL, 100% OWNERSHIP WITH SPOUSE, START 2/15/2019, ZERO HOURS PER MONTH, ZERO DURING TRADING, FAMILY FARM CAMP CRAZE LLC, INV RELATED, DANVILLE, AL, 50% OWNERSHIP, START 4/3/2017, ZERO HOURS PER MONTH, ZERO DURING TRADING, FARMING OLD ICE HOUSE LLC, INV RELATED, DECATUR, AL, 55% OWNERSHIP, START 4/2/2018, 4 HOURS PER MONTH, ZERO DURING TRADING, COMMERCIAL RENTAL PROPERTY BJC WEALTH MANAGEMENT INC, INV RELATED, DECATUR, AL, 100% OWNERSHIP, START 8/23/2022, 1 HOUR PER MONTH, ZERO HOURS DURING TRADING, FINET PRACTICE. RIVERFRONT OVERRIDE PARTRNERS, LLC, INVT RELATED, DECATUR, AL, 24% OWNERSHIP, START DATE 7/1/2024, 1 HR PER MONTH, 0 HRS DURING TRADING, MERCHANT CASH AGREEMENT. RWM HOLDINGS, LLC, INVT RELATED, DECATUR, AL, 26.7% OWNERSHIP, START DATE 7/1/2024, 1 HR PER MONTH, 0 HRS DURING TRADING, MERCHANT CASH AGREEMENT. RWM PARTNERS, LLC, INVT RELATED, DECATUR, AL, 33.33% OWNERSHIP, START DATE 7/1/2024, 1 HR PER MONTH, 0 HRS DURING TRADING, MERCHANT CASH AGREEMENT. RIVERFRONT OVERRIDE HOLDINGS, LLC, INVT RELATED, DECATUR, AL, 19.24% OWNERSHIP, START DATE 7/1/2024, 1 HR PER MONTH, 0 HRS DURING TRADING, MERCHANT CASH AGREEMENT. RWM OPERATING ENTITY, LLC, INVT RELATED, DECATUR, AL, 33.33% OWNERSHIP, START DATE 7/1/2024, 1 HR PER MONTH, 0 HRS DURING TRADING, FINET PRACTICE.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2000-10-05
  • S66 Uniform Combined State Law Examination
    2000-10-05

View on SEC IAPD

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