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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 | 2025-02-04 |
| NC | RA | APPROVED | 2013-03-18 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | Asheville | NC | 02/2013 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Asheville | NC | 11/2016 | Present |
9 NORTH SUMMIT LLC, INV RELATED, ASHEVILLE, NC, 25% OWNER, START: 1/1/2013, 2 HRS PER MONTH, 0 HRS DURING TRADING, LLC THAT HOLDS VACATION PROPERTY. PISGAH LEGAL SERVICES, INV RELATED, ASHEVILLE, NC, INVESTMENT COMMITTEE MEMBER, START 6/1/2023, 1 HOUR PER MONTH, 1 HOUR DURING TRADING, REVIEWING INVESTMENT PERFORMANCE AND PROGRESS IN ADHERENCE WITH INVESTMENT POLICY. PISGAH LEGAL SERVICES, INV RELATED, ASHEVILLE, NC, INVESTMENT COMMITTEE CHAIR, START 5/14/2024, 1 HOUR PER MONTH, ZERO HOURS DURING TRADING, REVIEWING INVESTMENT PERFORMANCE AND PROGRESS IN ADHERENCE WITH INVESTMENT POLICY. LAKE SUMMIT PROPERTY OWNERS ASSOCIATION, NOT INVT RELATED, HENDERSONVILLE, NC, BOARD MEMBER, START DATE 1/1/2025, 1 HR PER MONTH, 0 HRS DURING TRADING, ATTENDING MEETINGS, DISCUSSING TOPICS CONCERNING LAKE COMMUNITY AND PROPERTY OWNERS ON THE LAKE, EFFICIENT AND EFFECTIVE COMMUNICATIONS TO THE MEMBERS, TRASH COLLECTION, SKI BOAT CONGESTION, BOAT HOUSE CONSTRUCTION APPROVALS AND OPERATING THE GAS PUMP ON THE LAKE.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2013-03-15 |
| S63 | Uniform Securities Agent State Law Examination | 2009-04-08 |
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