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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

AuthorityCategoryStatusDate
SC RA APPROVED 2024-03-14
NH RA APPROVED 2022-07-07
TX RA APPROVED 2022-06-30
  • SC RA
    APPROVED
    Since 2024-03-14
  • NH RA
    APPROVED
    Since 2022-07-07
  • TX RA
    APPROVED
    Since 2022-06-30

Branch Locations

Hampstead, NH • United States

5 Bedford Farms Drive Suite 100, Bedford, NH 03110 • United States

West Falmouth, MA • United States

Murrells Inlet, SC • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Ubs Financial Services Manchester NH 05/2008 06/2022
Wells Fargo Advisors Financial Network, Llc Manchester NH 06/2022 Present
Previous Registrations
Other Businesses

SILVER STONE INVESTMENT MANAGEMENT LLC, INV RELATED, MANCHESTER, NH, 10% OWNERSHIP, START 5/17/2022, 160 HOURS PER MONTH, 130 HOURS DURING TRADING, FINET PRACTICE.; TRUSTEE FOR FRIEND, INV RELATED, BEDFORD, NH, START: 7/29/2024, 1 HOUR A MONTH, 0 HOURS DURING TRADING.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2006-03-31
S63 Uniform Securities Agent State Law Examination 2000-07-29
  • S65 Uniform Investment Adviser Law Examination
    2006-03-31
  • S63 Uniform Securities Agent State Law Examination
    2000-07-29

View on SEC IAPD

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