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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2023-05-02 |
| WI | RA | APPROVED | 2021-06-23 |
Branch Locations
Newport Square Building 10528 N. Port Washington Road, Mequon, WI 53092 • United States
Oconomowoc, WI • 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 | Waukesha | WI | 03/2015 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Waukesha | WI | 11/2016 | 06/2021 |
| Rbc Capital Markets, Llc | Mequon | WI | 06/2021 | Present |
NAME OF ENTITY: ST.CONSTANTINE AND HELEN CHURCH ADDRESS: 2160 N Wauwatosa Ave. Wauwatosa, WI. 53213 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Church CAPACITY: Committee/Council Member (not associated with the Board of Directors) START DATE: 01/01/22 DUTIES: Usher on Sundays; work festival, work Fish FRY 4X per year, monthly board meetings, discuss state of church, manage church economics HOURS DEVOTED PER MONTH: 4 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1997-12-12 |
| S63 | Uniform Securities Agent State Law Examination | 1997-12-05 |
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