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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| ME | RA | APPROVED | 2016-10-21 |
Branch Locations
Two Portland Square 5Th Floor, Portland, ME 04101-4088 • United States
Portland, ME • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | Portland | ME | 05/2009 | 10/2016 |
| Rbc Capital Markets, Llc | Portland | ME | 10/2016 | Present |
(1) NAME OF ENTITY: The Waynflete School ADDRESS: 360 Spring Street Portland ME 04102 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Educational Institution START DATE: Mar 02, 2026 CAPACITY: Other DUTIES: Coaching Varsity Boys Tennis Team HOURS DEVOTED PER MONTH: 0 - 4 Hours HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 - 4 Hours
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2002-05-15 |
| S65 | Uniform Investment Adviser Law Examination | 1997-12-15 |
| S63 | Uniform Securities Agent State Law Examination | 1997-09-19 |
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