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Current Employers
Wells Fargo Advisors Financial Network, Llc

One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States

Current Registrations

AuthorityCategoryStatusDate
MD RA APPROVED 2015-06-08
TX RA APPROVED_RES 2015-06-08
  • MD RA
    APPROVED
    Since 2015-06-08
  • TX RA
    APPROVED_RES
    Since 2015-06-08

Branch Locations

100 Light Street 13Th Floor, Baltimore, MD 21202 • United States

Disclosures

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.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Wells Fargo Advisors Financial Network, Llc Baltimore MD 06/2015 Present
Previous Registrations
  • 2009-10-23 → 2015-06-08
    Baltimore, MD
    Baltimore, MD
    Baltimore, MD
    Towson, MD
  • 2005-04-29 → 2009-10-23
    Banc Of America Investment Services, Inc.
    Baltimore, MD
    Baltimore, MD
    Annapolis, MD
  • 1999-10-08 → 2005-05-04
    Morgan Stanley Dw Inc.
    Annapolis, MD
Other Businesses

DGREEK LLC, INV RELATED, BALTIMORE, MD, 100% OWNERSHIP, START 6/5/2015, 170 HOURS PER MONTH, 9 HOURS DURING TRADING, FINET PRACTICE.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1996-12-20
S65 Uniform Investment Adviser Law Examination 1996-12-13
  • S63 Uniform Securities Agent State Law Examination
    1996-12-20
  • S65 Uniform Investment Adviser Law Examination
    1996-12-13

View on SEC IAPD

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