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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 | 2019-01-18 |
| CT | RA | APPROVED | 2016-04-06 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | Mystic | CT | 04/2016 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Mystic | CT | 11/2016 | Present |
YANTIC LANDING CONDO ASSOCIATION, NOT INV RELATED, NORWICH, CT, PRESIDENT, START 11/1/2015, 1 HOUR PER MONTH, ZERO DURING TRADING. V.E.T.S. EQUINE THERAPEUTIC SERVICES, INVT RELATED, NEW LONDON, CT, FINANCE COMMITTEE, START DATE 2/10/2020, 1 HR PER MONTH, 0 HRS DURING TRADING, ATTENDING MEETINGS AND DISCUSSING STRATEGY ON INCOME AND EXPENSES. UNITED WAY OF SOUTHEASTERN CONNECTICUT, INVT RELATED, GALES FERRY, CT, FINANCE REVIEW PANEL COMMITTEE, START DATE 2/26/2024, 8 HRS PER MONTH, 4 HRS DURING TRADING, ATTENDING VIRTUAL MEETINGS, REVIEWING AGENCIES FINANCIALS IN TEAMS.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2015-07-09 |
| S63 | Uniform Securities Agent State Law Examination | 2012-07-07 |
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