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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 |
|---|---|---|---|
| SC | RA | APPROVED | 2023-04-24 |
| WV | RA | APPROVED | 2023-04-21 |
| VA | RA | APPROVED | 2023-04-20 |
| NC | RA | APPROVED | 2022-03-24 |
| TX | RA | APPROVED | 2022-03-17 |
Branch Locations
4101 Lake Boone Trail Ste 110 [Satellite], Raleigh, NC 27607 • United States
Holly Springs, NC • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | Roanoke | VA | 05/2009 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Roanoke | VA | 11/2016 | 03/2022 |
| Wells Fargo Advisors Financial Network, Llc | Raleigh | NC | 03/2022 | Present |
GREENBRIER HILLVIEW FARMS INC, NON-INVESTMENT RELATED, CORPORATION WHICH OWNS HUNTING PROPERTY, CO-OWNER, BEGAN 8/22/1987, NO TIME SPENT. TRUSTEE FOR DECEASED FATHER'S TRUST; INV. RELATED; ROANOKE, VA; START DATE 12/5/2016; 5 HRS PER MONTH; 0 HRS DURING TRADING. EXECUTOR / EXECUTOR FEES FOR MOTHER'S ESTATE; INV. RELATED; ROANOKE, VA; START DATE 12/18/2019; 1 HR PER MONTH; 0 HRS DURING TRADING. SWANSON CAPITAL CORPORATION, INVT RELATED, RALEIGH, NC, 100% OWNERSHIP, START DATE 3/17/2022, 160 HRS PER MONTH, 8 HRS DURING TRADING, FINET PRACTICE. SWANSON CAPITAL CORPORATION CASH BALANCE PLAN DBP; INV. RELATED; ROANOKE, VA; FINET PRACTICE DBP; TRUSTEE; START DATE 8/2022; 1 HR PER MONTH; 0 HRS DURING TRADING.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1997-01-30 |
| S63 | Uniform Securities Agent State Law Examination | 1996-12-19 |
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