Via Rivera

One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2022-02-03

Branch Locations

No disclosure categories reported as “Yes” on this SEC record.

Organization	City	State	From	To
Wells Fargo Advisors	Northampton	MA	07/2011	11/2016
Wells Fargo Clearing Services, Llc	Northampton	MA	11/2016	01/2021
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Springfield	MA	01/2021	01/2022
Https://Gateway.fInra.oRg/App/Forms/U4/View/Dataentry/Section/Em	Boston	MA	01/2022	Present

07/2011 → 11/2016

Wells Fargo Advisors

Northampton, MA
11/2016 → 01/2021

Wells Fargo Clearing Services, Llc

Northampton, MA
01/2021 → 01/2022

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Springfield, MA
01/2022 → Present

Https://Gateway.fInra.oRg/App/Forms/U4/View/Dataentry/Section/Em

Boston, MA

2021-01-29 → 2022-01-18

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Springfield, MA
2014-10-23 → 2021-01-14

Wells Fargo Clearing Services, Llc

Northampton, MA

RENTAL PROPERTY, INV RELATED, WESTFIELD, MA, LANDLORD, START DATE: 9/4/23, 0 HRS PER MONTH, 0 HRS DURING TRADING.

Code	Exam	Date
S66	Uniform Combined State Law Examination	2014-10-23

Other Firms