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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 | 2023-08-18 |
| NJ | RA | APPROVED | 2022-05-13 |
| TX | RA | APPROVED | 2022-05-13 |
Branch Locations
19 Center St, Chatham, NJ 07928 • United States
485 Madison Ave 6Th Floor [Satellite], New York, NY 10022 • United States
Shorthills, NJ • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | Palo Alto | CA | 05/2009 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Palo Alto | CA | 11/2016 | 05/2022 |
| Wells Fargo Advisors Financial Network, Llc | Chatham | NJ | 05/2022 | Present |
KLEIN FAMILY ENTERPRISES INC., INV RELATED, SHORT HILLS, NJ, 100% OWNERSHIP, START DATE 4/5/2022, ZERO HOURS PER MONTH, ZERO HOURS DURING TRADING, FINET PRACTICE.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-12-20 |
| S63 | Uniform Securities Agent State Law Examination | 1999-11-10 |
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