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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 |
|---|---|---|---|
| AZ | RA | APPROVED | 2023-01-23 |
| CA | RA | APPROVED | 2023-01-23 |
| TX | RA | APPROVED | 2023-01-20 |
Branch Locations
3573 E. Sunrise Drive Suite 225B [Satellite], Tucson, AZ 85718 • United States
225 Seven Farms Dr Ste 300, Charleston, SC 29492 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | Tucson | AZ | 05/2009 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Tucson | AZ | 11/2016 | 01/2023 |
| Wells Fargo Advisors Financial Network, Llc | Charleston | SC | 01/2023 | Present |
NALLY JAMES PLLC, INVT RELATED, ORO VALLEY, AZ, 50% OWNERSHIP, START DATE 1/23/2023, 160 HRS PER MONTH, 6.5 HRS DURING TRADING, FINET PRACTICE.; TRUSTEE FOR NALLY JAMES 401K, INV RELATED, ORO VALLEY, AZ, START: START: 3/1/2023, 1 HOUR A MONTH, 1 HOUR DURING TRADING, FINET PRACTICE 401K. ROTARY OF TUCSON; INV RELATED; TUCSON, AZ; INVESTMENT COMMITTEE MEMBER; START DATE 7/1/2024; LESS THAN 1 HOUR PER MONTH; 0 DURING TRADING; ATTEND 2 MEETINGS A YEAR, REVIEW THE INVEMENT ALLOCATION AND PERFORMANCE OF THE FOUNDATION'S ACCOUNTS TO SEE IF CHANGES NEED TO BE MADE FOR CASH FLOW NEEDS, POOR RESULTS OR NORMAL REBALANCING. CRAWFORD GP LLC ; INV RELATED; TUCSON,AZ; MERCHANT PARTNERSHIP;90% OWNERSHIP; START DATE: 12/31/2025; 1 HRS PER MONTH; 0 HRS DURING TRADING;|
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1997-05-03 |
| S63 | Uniform Securities Agent State Law Examination | 1997-05-02 |
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