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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 |
|---|---|---|---|
| NY | RA | APPROVED | 2021-07-27 |
| TX | RA | APPROVED_RES | 2013-03-01 |
Branch Locations
280 Park Ave 27Th & 29Th Fls, New York, NY 10017 • United States
Farmingdale, NY • 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 | Present |
MOOSE MOUNTAIN LODGE LLC; INVESTMENT RELATED; LAKE PLACID, NY; RENTALS; 10% OWNERSHIP; START DATE 10/2010; 0 HRS PER MONTH; 0 HRS DURING TRADING; DUTIES - NONE.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1998-12-07 |
| S63 | Uniform Securities Agent State Law Examination | 1998-07-20 |
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