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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 |
|---|---|---|---|
| KY | RA | APPROVED | 2021-12-09 |
| TX | RA | APPROVED | 2003-07-25 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | Surprise | AZ | 05/2009 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Surprise | AZ | 11/2016 | Present |
RENTAL PROPERTY, INV RELATED, PHOENIX, AZ, 100% OWNERSHIP, START 1/15/2021, 1 HOURS PER MONTH, ZERO DURING TRADING.; TRUSTEE FOR PARENT'S TRUST, INV RELATED, SURPRISE, AZ, START: 11/11/2022, LESS THAN 1 HR/MONTH, 0 HRS DURING TRADING.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2001-09-17 |
| S63 | Uniform Securities Agent State Law Examination | 2001-09-07 |
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