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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 | 2025-10-17 |
| FL | RA | APPROVED | 2024-12-09 |
Branch Locations
Boca Raton , FL • United States
1800 N Military Trail Suite 210 2Nd Floor, Boca Raton, FL 33431 • 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 |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | New York | NY | 12/2014 | 07/2019 |
| Bank Of America, N.A. | New York | NY | 01/2015 | 07/2019 |
| Wells Fargo Clearing Services, Llc | Greenwich | CT | 07/2019 | 12/2024 |
| Wells Fargo Advisors Financial Network, Llc | Boca Raton | FL | 12/2024 | Present |
I*107231 For profit or not for profit: For-Profit Organization Name of outside business organization: 559 Pound Ridge LLC Investment related: N Address of business: Bedford, New York 10506 Nature of business: LLC, Position, title, association: Owner, Start date of relationship: 7/7/2017 Number of hours devoted: 0 hour(s) Annually Number of hours devoted during trading hours: 0 Duties: LLC was established to own a 2nd home my wife and I owned. STACKS FINANCIAL LLC; INV. RELATED; BOCA RATON, FL; 100% OWNERSHIP; FINET; START DATE: 10/10/2024; 160 HOURS PER MONTH; 160 HOURS DURING TRADING.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2002-10-18 |
| S63 | Uniform Securities Agent State Law Examination | 1996-11-08 |
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