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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 | 2019-01-04 |
| IL | RA | APPROVED | 2019-01-03 |
Branch Locations
2 Transam Plaza Dr Ste 290, Oakbrook Terrace, IL 60181 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | Oak Brook | IL | 05/2009 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Oak Brook | IL | 11/2016 | 01/2019 |
| Wells Fargo Advisors Financial Network, Llc | Oakbrook Terrace | IL | 01/2019 | Present |
TRUSTEE FOR BROTHER'S FAMILY EDUCATION TRUST; INVESTMENT RELATED; GLEN ELLYN, IL; START DATE 11/2008; 0 HRS MONTH / 0 HRS DURING TRADING. THE R-B FINANCIAL GROUP, INV RELATED, OAKBROOK TERRACE, IL, 50% OWNERSHIP, START 1/1/2019, 160 HOURS PER MONTH, 160 HOURS DURING TRADING, FINET PRACTICE.; CO-TRUSTEE FOR THE R-B FINANCIAL GROUP 401K, INV RELATED, OAK BROOK TERRACE, IL, START: 5/14/2019, 1 HR/MONTH, 0 HRS DURING TRADING, FINET PRACTICE 401K.; CO-TRUSTEE FOR FATHER'S TRUST, INV RELATED, ORLAND PARK, IL, START: 1/3/2021, 0 HRS/MONTH, 0 HRS DURING TRADING.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1997-03-07 |
| S63 | Uniform Securities Agent State Law Examination | 1997-02-21 |
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