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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 |
|---|---|---|---|
| FL | RA | APPROVED | 2024-10-09 |
| NY | RA | APPROVED | 2024-09-12 |
| NJ | RA | APPROVED | 2022-05-24 |
Branch Locations
19 Center St, Chatham, NJ 07928 • United States
485 Madison Ave 6Th Floor [Satellite], New York, NY 10022 • 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 | New York | NY | 05/2009 | 11/2016 |
| Wells Fargo Clearing Services, Llc | New York | NY | 11/2016 | 05/2022 |
| Wells Fargo Advisors Financial Network, Llc | Chatham | NJ | 05/2022 | Present |
TRUSTEE FOR SPOUSE; INV RELATED; NEW YORK, NY; START: 2/21/17; 5 HRS/MO; 2 DURING TRADING. ESW PROPERTIES, INC, NOT INVT RELATED, NEW YORK, NY, START DATE START DATE 5/14/19, 2 HRS PER MONTH, 0 DURING TRADING AWPL PROPERTIES INC., INV RELATED, SOUTHAMPTON, NY, 100% OWNERSHIP, START 4/4/2022, 160 HOURS PER MONTH, 160 HOURS DURING TRADING, FINET PRACTICE. JMKW PROPERTIES LLC, INV RELATED, SOUTHAMPTON, NY, 100% OWNERSHIP, START 9/8/2021, ZERO HOURS PER MONTH, ZERO HOURS DURING TRADING, TO HOLD POTENTIAL FILM RIGHTS. BSKW PROPERTIES LLC, INV RELATED, SOUTHAMPTON, NY, 100% OWNERSHIP, START 9/10/2021, ZERO HOURS PER MONTH, ZERO HOURS DURING TRADING, TO HOLD REAL ESTATE.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-02-09 |
| S63 | Uniform Securities Agent State Law Examination | 1997-06-12 |
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