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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 |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2014-11-13 |
| CT | RA | APPROVED | 2003-07-01 |
Branch Locations
83 Wooster Hts Ste 401 Lee Farm Corporate Park, Danbury, CT 06810 • 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 | Danbury | CT | 05/2009 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Danbury | CT | 11/2016 | Present |
EXECUTOR FOR BROTHER, INV RELATED, POUGHKEEPSIE, NY, START: 9/27/2023, 20 HOURS A MONTH, 0 HOURS DURING TRADING.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1998-04-18 |
| S65 | Uniform Investment Adviser Law Examination | 1998-04-18 |
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