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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 |
|---|---|---|---|
| VA | RA | APPROVED | 2023-02-17 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Bank Na | Richmond | VA | 06/2009 | 07/2018 |
| Wells Fargo Clearing Services, Llc | Richmond | VA | 07/2018 | 02/2023 |
| Wells Fargo Advisors Financial Network, Llc | Richmond | VA | 02/2023 | Present |
CARDINAL ASSET MANAGEMENT LLC, INV RELATED, RICHMOND, VA, 100% OWNERSHIP, START 2/17/2023, 40 HOURS PER MONTH, 32.5 HOURS DURING TRADING, FINET PRACTICE.| SPECIAL OLYMPICS OF VIRGINIA; NOT INV RELATED; RICHMOND, VA; TREASURER; START DATE 05/08/2025; 10 HOURS PER MONT; 0 HOURS DURING TRADING
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2014-04-15 |
| S63 | Uniform Securities Agent State Law Examination | 2012-05-08 |
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