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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2022-11-10 |
| NY | RA | APPROVED | 2021-05-10 |
| TX | RA | APPROVED_RES | 2018-10-04 |
| CA | RA | APPROVED | 2018-10-03 |
Branch Locations
5786 Widewaters Pkwy Suite 2, Syracuse, NY 13214-3500 • United States
Treasure Island, FL • United States
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | De Witt | NY | 05/2009 | 11/2016 |
| Wells Fargo Clearing Services, Llc | De Witt | NY | 11/2016 | 10/2018 |
| Rbc Capital Markets, Llc. | Syracuse | NY | 10/2018 | Present |
| City National Bank | Syracuse | NY | 08/2019 | Present |
(1) NAME OF ENTITY: Village of Paradise HOA ADDRESS: 443 Haven Point Drive, Treasure Island, FL, 33706 INVESTMENT/NOT INVESTMENT RELATED: NO BUSINESS DESCRIPTION: Other START DATE: Nov 29, 2024 CAPACITY: Committee/Council Member DUTIES: Review budgets with the committee HOURS DEVOTED PER MONTH: 0 - 4 Hours HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 - 4 Hours
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2011-04-21 |
| S63 | Uniform Securities Agent State Law Examination | 1997-04-18 |
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