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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 |
|---|---|---|---|
| ND | RA | APPROVED | 2024-09-23 |
| TX | RA | APPROVED_RES | 2024-09-20 |
Branch Locations
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Dougherty & Company Llc | Minneapolis | MN | 12/2011 | 05/2017 |
| Wells Fargo Clearing Services, Llc | Fargo | ND | 05/2017 | 09/2024 |
| Wells Fargo Advisors Financial Network, Llc | Fargo | ND | 09/2024 | Present |
ONE WEALTH LLC, INV RELATED, FARGO, ND, 7% OWNERSHIP, START 4/26/24, 160 HRS PER MONTH, 160 HRS DURING TRADING, FINET; Q CAPITAL LLC, INV RELATED, FARGO, ND, 100% OWNERSHIP, START 7/5/24, 160 HRS PER MONTH, 160 HRS DURING TRADING, FINET PRACTICE; ONEWEALTH FINANCIAL LLC DBA ONEWEALTH LLC, INVT RELATED, FARGO, ND, 7% OWNERSHIP, START DATE 8/26/2024, 160 HRS PER MONTH AND DURING TRADING. FOR FINET PRACTICE.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2001-07-25 |
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