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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 | 2009-12-11 |
| NC | RA | APPROVED | 2004-07-30 |
Branch Locations
6000 Fairview Rd Ste 800, Charlotte, NC 28210 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | Charlotte | NC | 05/2009 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Charlotte | NC | 11/2016 | Present |
1) TRUSTEE OF TRUST FOR FRIEND/CLIENT, INSURANCE TRUST; INVESTMENT RELATED; NEGLIGIBLE TIME INVOLVED, START 2002. 2) TRUSTEE OF TRUST CREATED BY BROTHER FOR HIS CHILDREN; INVESTMENT RELATED; DALLAS, TX; START 8/2002; MINIMAL TIME DEVOTED; NOT DURING TRADING HOURS.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2003-12-19 |
| S63 | Uniform Securities Agent State Law Examination | 1998-04-03 |
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