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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 |
|---|---|---|---|
| NJ | RA | APPROVED | 2023-05-12 |
| TX | RA | APPROVED_RES | 2023-05-11 |
Branch Locations
50 Cardinal Drive Suite 101, Westfield, NJ 07090 • 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 | Summit | NJ | 05/2009 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Summit | NJ | 11/2016 | 05/2023 |
| Wells Fargo Advisors Financial Network, Llc | Westfield | NJ | 05/2023 | Present |
HUB ADVISORS, LLC, INV RELATED, WATCHUNG, NJ, 20% OWNERSHIP, START: 1/1/2023, 0 HRS/MONTH, 0 HRS DURING TRADING, FINET PRACTICE.| JMP FINANCIAL SERVICES CORP; INV RELATED; SCOTCH PLAINS, NJ; FINANCIAL ADVISOR; 100% OWNERSHIP; START DATE 05/11/2023; 1 HOUR PER MONTH; 0 HOURS DURING TRACING
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2000-09-26 |
| S63 | Uniform Securities Agent State Law Examination | 1999-11-08 |
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