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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 |
|---|---|---|---|
| FL | RA | APPROVED | 2013-10-18 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors Financial Network, Llc | Sarasota | FL | 05/2010 | Present |
HIDDEN OAKS ESTATES HOMEOWNERS ASSOCIATION; NOT INV RELATED; SARASOTA, FL; BOARD MEMBER; START 11//1/2021; 3 HOURS PER MONTH; ZERO DURING TRADING HOURS; VOTING ON BUSINESS MATTERS, DUES, FEES, ASSESSMENTS, HOA RULES, FINANCIALS, AND EXPENDITURES OUTSIDE OF APPROVED BUDGET.| CAPSTAN FINANCIAL LEGACY, LLC, INVT RELATED, SARASOTA, FL, 2.5% OWNERSHIP, START DATE 12/18/2023, 2 HRS PER MONTH, 0 HRS DURING TRADING, FINET PRACTICE.| CAPSTAN FINANCIAL HOLDING LLC, INV RELATED, SARASOTA, FL, 2.5% OWNERSHIP, START 12/27/2023, 20 HOURS PER MONTH, 20 HOURS DURING TRADING, FINET PRACTICE| CAPSTAN GROWTH PARTNERS LLC, INV RELATED, SARASOTA, FL,MERCHANT CASH AND STOCK AGREEMENT; 3% OWNERSHIP, START 03/28/2025, 20 HOURS PER MONTH, 20 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 |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2013-10-08 |
| S63 | Uniform Securities Agent State Law Examination | 1999-10-04 |
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