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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
CT RA APPROVED 2026-08-14
TX RA APPROVED 2026-08-14
  • CT RA
    APPROVED
    Since 2026-08-14
  • TX RA
    APPROVED
    Since 2026-08-14

Branch Locations

275 Maple Ave [Satellite], Cheshire, CT 06410 • United States

7200 Wisconsin Ave Ste 903, Bethesda, MD 20814 • 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
OrganizationCityStateFromTo
Wells Fargo Advisors Llc Waterbury CT 05/2009 11/2016
Wells Fargo Clearing Services, Llc Waterbury CT 11/2016 08/2026
Wells Fargo Advisors Financial Network, Llc Westport CT 08/2026 Present
Previous Registrations
  • 2007-02-22 → 2026-08-14
    Southbury, CT
    Melville, NY
    Waterbury, CT
    Danbury, CT
    Shelton, CT
    Melville, NY
    Southbury, CT
    Fairfield, CT
    Prospect, CT
    Purchase, NY
    Waterbury, CT
    Melville, NY
    Wallingford, CT
    Middletown, CT
    Waterbury, CT
    Waterbury, CT
    Westport, CT
    New Haven, CT
Other Businesses

65-70 INVESTMENT CLUB; INVESTMENT RELATED; WATERTOWN, CT; MEMBER/SECRETARY; START 1/1/2023, 4 HRS PER MONTH; 0 HRS DURING TRADING, ATTENDING MEETINGS, MAIL COMMUNICATIONS TO MEMBERS. MOXIE PROPERTIES, LLC; NOT INVESTMENT RELATED; SOUTHINGTON, CT; 100% OWNERSHIP WITH SPOUSE; START 12/20/2020; NUMBER OF HOURS PER MONTH 0; NUMBER DURING TRADING 0; HOLDS REAL ESTATE. RESIDENTIAL/COMMERCIAL RENTAL PROPERTY, INVT RELATED, CHESHIRE, CT, 100% OWNERSHIP WITH SPOUSE, START DATE 2/1/2021, 0 HRS PER MONTH, 0 HRS DURING TRADING, NO DUTIES.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2007-02-05
S63 Uniform Securities Agent State Law Examination 2004-05-19
  • S65 Uniform Investment Adviser Law Examination
    2007-02-05
  • S63 Uniform Securities Agent State Law Examination
    2004-05-19
Designations

View on SEC IAPD

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