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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 |
|---|---|---|---|
| AR | RA | APPROVED | 2023-01-12 |
| TX | RA | APPROVED | 2023-01-12 |
Branch Locations
6020 Ranch Dr C4 [Satellite], Little Rock, AR 72223 • United States
434 N. Loop 1604 West Suite 2203, San Antonio , TX 78232 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | Little Rock | AR | 05/2009 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Little Rock | AR | 11/2016 | 01/2023 |
| Wells Fargo Advisors Financial Network, Llc | Little Rock | AR | 01/2023 | Present |
PIERCY-WHITT WEALTH MANAGEMENT GROUP LLC, INV RELATED, LITTLE ROCK, AR, 60% OWNERSHIP, START 8/16/2022, 160 HOURS PER MONTH, 6.5 HOURS DURING TRADING, FINET PRACTICE. PIVOT POINT, LLC, NOT INVT RELATED, LITTLE ROCK, AR, 50% OWNERSHIP, START DATE 9/1/2023, 5 HRS PER MONTH, 0 HRS DURING TRADING, PARTIAL INVESTMENT IN FRANCHISE BUSINESS. DLP HOLDINGS LLC; INV RELATED; 100% OWNERSHIP; LITTLE ROCK, AR; START 09/21/2023; 1 HOUR PER MONTH, 0 HOURS DURING TRADING; FINET PRACTICE.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2001-09-27 |
| S63 | Uniform Securities Agent State Law Examination | 1997-02-24 |
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