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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_RES | 2013-04-22 |
| FL | RA | APPROVED | 2010-05-12 |
Branch Locations
238 S Washington Blvd, Sarasota, FL 34236 • United States
7500 Island Cove Terrace Suite 201 [Satellite], Sarasota, FL 34240 • United States
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors Financial Network Llc | Sarasota | FL | 05/2010 | Present |
PALMER LAKE HOME OWNERS ASSOCIATION, NOT INV RELATED, SARASOTA, FL, MEMBER OF THE BOARD OF DIRECTORS, START 9/4/2019, 4 HOURS PER MONTH, ZERO DURING TRADING, ATTENDING MEETINGS, MANAGING THE AFFAIRS OF THE NEIGHBORHOOD, CREATING AND OVERSEEING THE ANNUAL BUDGET, AND ADVISING ON FUTURE ENHANCEMENTS.| F.W.M. LLC; INV. RELATED; SARASOTA,FL; 100% OWNERSHIP; START DATE 12/01/2021; NUMBER OF HOURS PER MONTH 0; NUMBER OF HOURS DURING TRADING 0; FINET PRACTICE.| CAPSTAN FINANCIAL LEGACY LLC, INV RELATED, SARASOTA, FL, 2.5% OWNERSHIP, START 12/18/2023, 2 HOURS PER MONTH, 0 HOURS DURING TRADING, FINET PRACTICE.| CAPSTAN FINANCIAL HOLDING LLC, INV RELATED, SARASOTA, FL, 2.5% OWNERSHIP, START 12/27/2023, 20 HOURS PER MONTH, 20 HOURS DURING TRADING, FINET PRACTICE| CAPSTAN GROWTH PARTNERS LLC, INV RELATED, SARASOTA, FL, MERCHANT CASH AND STOCK AGREEMENT; 5% OWNERSHIP, START 03/28/2025, 20 HOURS PER MONTH, 20 HOURS DURING TRADING| FEATHER WM HOLDINGS, LLC; INV RELATED; SARASOTA, FL; USED TO SELL TO CAPSTAN GROWTH; 90% OWNERSHIP; START DATE 03/28/2025; 5 HOURS PER MONTH; 0 HOURS DURING TRADING| CAPSTAN INSURANCE CONSULTING LLC; INV RELATED; SARASOTA, FL; 2% OWNERSHIP; START DATE 05/02/2025; 5 HOURS PER MONTH; 0 HOURS DURING TRADING
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2006-10-26 |
| S63 | Uniform Securities Agent State Law Examination | 2004-10-20 |
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