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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TN | RA | APPROVED | 2022-08-04 |
| TX | RA | APPROVED | 2022-08-04 |
Branch Locations
6815 Poplar Avenue Suite 210, Germantown, TN 38138 • United States
Germantown, TN • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | Memphis | TN | 05/2009 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Memphis | TN | 11/2016 | 08/2022 |
| Rbc Capital Markets, Llc | Memphis | TN | 08/2022 | Present |
(1) Name of Entity: Somerset HOA Non-Investment related Address: Sophie LN Nature of OBA: Neighborhood HOA Position/Title/Relationship: Committee/Council Member (not associated with the Board of Directors) Start Date: 01/08/19 Time Devoted: 5 minutes; 0 during securities trading Duties: review and approve/reject exterior remodeling...mainly exterior paint/stain colors
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1998-09-24 |
| S63 | Uniform Securities Agent State Law Examination | 1998-09-04 |
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