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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 | 2011-05-10 |
Branch Locations
868 Church St N, Concord, NC 28025 • United States
550 S Tryon St 44Th & 45Th Fls, Charlotte, NC 28202 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wachovia Bank, N.A. | Concord | NC | 11/2001 | Present |
| Wells Fargo Advisors Llc | Concord | NC | 03/2011 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Concord | NC | 11/2016 | Present |
HGBC; NOT INVESTMENT RELATED; CHARLOTTE, NC; RECREATION LEAGUE; UMPIRE, START DATE = 03/2000; SEASONAL MAXIMUM 16 HOURS DEVOTED; NONE DURING TRADING HOURS. - CORE ATHLETICS; NOT INVESTMENT RELATED; CONCORD, NC; RECREATION LEAGUE; UMPIRE, START DATE = 03/2006; SEASONAL MAXIMUM 16 HOURS DEVOTED; NONE DURING TRADING HOURS.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2011-05-09 |
| S63 | Uniform Securities Agent State Law Examination | 2011-04-25 |
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