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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 |
|---|---|---|---|
| NC | RA | APPROVED | 2022-05-31 |
Branch Locations
6752 Parker Farm Dr Ste 300, Wilmington, NC 28405 • United States
3100 Dr M L King Jr Blvd, New Bern, NC 28562 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Bank, Na | New Bern | NC | 09/2006 | Present |
| Wells Fargo Advisors Llc | New Bern | NC | 05/2009 | 11/2016 |
| Wells Fargo Clearing Services, Llc | New Bern | NC | 11/2016 | 06/2018 |
| Wells Fargo Clearing Services, Llc | New Bern | NC | 01/2020 | 05/2021 |
| Wells Fargo Clearing Services, Llc | New Bern | NC | 05/2022 | Present |
CRAVEN COUNTY PARTNERS IN EDUCATION, INVT RELATED, NEW BERN, NC, FINANCE COMMITTEE CHAIR, START DATE 7/1/2024, 1 HR PER MONTH, 0 HRS DURING TRADING, ATTENDING MEETINGS, REVIEW FINANCIAL RECORDS FOR TIMELINESS, COMPLETENESS, AND ACCURACY, REPORT TO THE BOARD ANY FINANCIAL IRREGULARITIES, CONCERNS, AND/OR OPPORTUNITIES. RESPONSIBLE FOR ESTABLISHING AND MONITORING ADHERENCE TO APPROPRIATE INTERNAL CONTROLS AND REVIEW BUDGETS PREPARED BY STAFF AND PARTICIPATE IN THE ANNUAL BUDGETING PROCESS.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2020-02-14 |
| S63 | Uniform Securities Agent State Law Examination | 2008-02-19 |
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