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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_RES | 2020-03-26 |
| NC | RA | APPROVED | 2002-06-20 |
Branch Locations
3105 Glenwood Ave Stes 201 & 302, Raleigh, NC 27612 • United States
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | Raleigh | NC | 05/2009 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Raleigh | NC | 11/2016 | Present |
HGW ENTERPRISES LLC; NON INVESTMENT RELATED; CHARLOTTESVILLE, VA; PURCHASE REAL ESTATE; 50% OWNERSHIP; START 10/09; 1 HR PER MONTH 0 DURING TRADING HOLY TRINITY ANGLICAN CHURCH; NOT INV. RELATED; RALEIGH, NC; FINANCE COMMITTEE MEMBER; START DATE 10/2016; 2 HRS PER MONTH; 0 HRS DURING TRADING.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-08-27 |
| S63 | Uniform Securities Agent State Law Examination | 1996-10-09 |
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