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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
RI RA APPROVED 2025-11-17
TX RA APPROVED_RES 2025-11-17
GA RA APPROVED 2025-11-14
  • RI RA
    APPROVED
    Since 2025-11-17
  • TX RA
    APPROVED_RES
    Since 2025-11-17
  • GA RA
    APPROVED
    Since 2025-11-14

Branch Locations

468 Warren Ave 1St Fl, East Providence, RI 02914 • United States

Savannah, GA • United States

Disclosures

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.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Wells Fargo Advisors Llc Providence RI 01/2011 11/2016
Wells Fargo Clearing Services, Llc Providence RI 11/2016 11/2025
Wells Fargo Advisors Financial Network, Llc Providence RI 11/2025 Present
Previous Registrations
  • 2011-01-05 → 2025-11-13
    Providence, RI
    Savannah, GA
    Savannah, GA
    Stuart, FL
    Savannah, GA
    Savannah, GA
    Providence, RI
    Providence, RI
  • 2009-06-01 → 2011-01-12
    Providence, RI
  • 2007-04-02 → 2009-06-01
    Morgan Stanley & Co. Llc
    Providence, RI
  • 2001-09-04 → 2007-04-02
    Morgan Stanley Dw Inc.
    Providence, RI
    Providence, RI
Other Businesses

COMMERCIAL PROPERTY; INV RELATED; EAST PROVIDENCE, RI; 50% OWNERSHIP; START DATE 05/05/2025; 1 HOUR PER MONTH; 0 HOURS DURING TRADING

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2000-12-08
  • S66 Uniform Combined State Law Examination
    2000-12-08
Designations

View on SEC IAPD

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