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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 |
|---|---|---|---|
| CA | RA | APPROVED | 2023-03-07 |
| TX | RA | APPROVED | 2023-03-06 |
Branch Locations
1850 Mt Diablo Blvd, Ste 225 [Satellite], Walnut Creek, CA 94596 • United States
1795 E Skyline Dr Ste 141, Tucson, AZ 85718 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | Walnut Creek | CA | 07/2011 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Walnut Creek | CA | 11/2016 | 03/2023 |
| Wells Fargo Advisors Financial Network, Llc | Walnut Creek | CA | 03/2023 | Present |
TN&LG, LLC, INVT RELATED, WALNUT CREEK, CA, 100% OWNERSHIP, START DATE 3/6/2023, 160 HRS PER MONTH, 6.5 HRS DURING TRADING, FINET PRACTICE. CANTARE, INVT RELATED, OAKLAND, ARKANSAS, FINANCE COMMITTEE MEMBER, START DATE 11/1/2023, 5 HRS PER MONTH, 0 HRS DURING TRADING, ATTENDING MONTHLY MEETINGS, REVIEWING FINANCIAL REPORTS, PROVIDING INPUT TO STAFF IN THE FORMATTING OF FINANCE REPORTS TO THE BOARD, SUPPORTING STAFF IN THE BUDGETING PROCESS.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1998-09-25 |
| S63 | Uniform Securities Agent State Law Examination | 1998-09-14 |
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