Daniel G. Rispoli

Current Employers

Wells Fargo Advisors Financial Network, Llc

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	2023-05-19
NJ	RA	APPROVED	2023-05-15

TX RA
APPROVED_RES

Since 2023-05-19
NJ RA
APPROVED

Since 2023-05-15

Branch Locations

50 Cardinal Drive Suite 101, Westfield, NJ 07090 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Wells Fargo Advisors Llc	Oakhurst	NJ	05/2009	11/2016
Wells Fargo Clearing Services, Llc	Oakhurst	NJ	11/2016	05/2023
Wells Fargo Advisors Financial Network, Llc	Westfield	NJ	05/2023	Present

05/2009 → 11/2016

Wells Fargo Advisors Llc

Oakhurst, NJ
11/2016 → 05/2023

Wells Fargo Clearing Services, Llc

Oakhurst, NJ
05/2023 → Present

Wells Fargo Advisors Financial Network, Llc

Westfield, NJ

Previous Registrations

2011-05-06 → 2023-05-16

Wells Fargo Clearing Services, Llc

Summit, NJ

Oakhurst, NJ

Charlotte, NC

Summit, NJ

Short Hills, NJ

Short Hills, NJ

Other Businesses

HKCMZ-19, NOT INV RELATED, DENVILLE, NJ, 100% OWNERSHIP, START 3/1/2023, 4 HOURS PER MONTH, ZERO HOURS DURING TRADING, BUYING/SELLING GAME AND SPORTS TRADING CARDS ONLINE

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2011-05-05
S63	Uniform Securities Agent State Law Examination	2003-05-23

S65 Uniform Investment Adviser Law Examination

2011-05-05
S63 Uniform Securities Agent State Law Examination

2003-05-23

View on SEC IAPD