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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 | 2023-12-20 |
| DC | RA | APPROVED | 2023-09-18 |
| MD | RA | APPROVED | 2023-09-18 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | Washington | DC | 05/2009 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Washington | DC | 11/2016 | 08/2018 |
| Sargent Investment Group, Llc | Bethesda | MD | 08/2018 | 01/2022 |
| Wells Fargo Clearing Services, Llc | Washington | DC | 07/2023 | Present |
| Unemployed | Waldorf | MD | 01/2022 | 07/2023 |
EXECUTOR FOR BROTHER, INV RELATED, BROOKLYN, NY, START: 12/07/2023, 1 HOUR A MONTH, 0 HOURS DURING TRADING.; TRUSTEE FOR BROTHER'S TRUST, INV RELATED, BROOKLYN, NY, START: 10/02/20220, 1 HOUR A MONTH, 0 HOURS DURING TRADING.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2024-04-04 |
| S65 | Uniform Investment Adviser Law Examination | 2006-03-20 |
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