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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 |
|---|---|---|---|
| NC | RA | APPROVED | 2019-10-30 |
Branch Locations
One North Jefferson Avenue Mail Code: H0004-05G, St. Louis, MO 63103 • UNITED STATES
1525 W Wt Harris Blvd 5Th Fl [Clt Rcast], Charlotte, NC 28262 • 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 |
| Mml Investors Services, Llc | Charlotte | NC | 12/2017 | 05/2018 |
| Massachusetts Mutual Life Insurance Company | Springfield | MA | 12/2017 | 05/2018 |
| Wells Fargo Clearing Services, Llc | Charlotte | NC | 11/2016 | 12/2017 |
| Wells Fargo Clearing Services | Charlotte | NC | 05/2018 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2019-10-30 |
| S63 | Uniform Securities Agent State Law Examination | 2000-05-16 |
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