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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 |
|---|---|---|---|
| TX | RA | APPROVED | 2014-10-09 |
| RI | RA | APPROVED | 2009-04-03 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | Middletown | RI | 05/2009 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Middletown | RI | 11/2016 | Present |
SALVE REGINA UNIVERSITY, INV. RELATED, NEWPORT, RI., CIRCLE OF SCHOLARS INSTRUCTOR, START: 3/21/17, 8 HOURS/MONTH, 0 DURING TRADING, FACILITATES INVESTMENT PLANNING COURSE. SALVE REGINA UNIVERSITY, INV. RELATED, NEWPORT, RI., CIRCLE OF SCHOLARS INSTRUCTOR, START: 10/1/18, 6 HOURS/MONTH, 0 DURING TRADING, ACADEMIC INVESTMENT PLANNING COURSE. BOYS & GIRLS CLUB OF NEWPORT COUNTY; INVESTMENT RELATED; NEWPORT,RI; CAPITAL CAMPAIGN & ENDOWMENT COMMITTEE MEMBER; START DATE 05/02/2019; NUMBER OF HOURS PER MONTH 1; NUMBER OF HOURS DURING TRADING 0; DONATING STOCK TO THE ORGANIZATION, ADDING BGC TO THE ESTATE PLANNING DOCUMENTS, GETTING LOCAL ADVISORS (ATTORNEYS, CPAS, ACCOUNTANTS) TO RECOMMEND BGC TO THE CLIENTS. SERVING ON A GROUP THAT MEETS INFREQUENTLY REGARDING STRATEGIES TO MARKET THESE EFFORTS AND PROVIDING ADVICE TO THE GROUP.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2002-05-03 |
| S63 | Uniform Securities Agent State Law Examination | 2002-04-26 |
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