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Current Employers
Wells Fargo Advisors Financial Network, Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2023-06-27
GA RA APPROVED 2023-06-26
  • TX RA
    APPROVED_RES
    Since 2023-06-27
  • GA RA
    APPROVED
    Since 2023-06-26

Branch Locations

5600 Glenridge Dr Suite 200-E, Atlanta, GA 30342 • United States

Disclosures

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

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Wells Fargo Advisors Llc Atlanta GA 08/2014 11/2016
Wells Fargo Clearing Services, Llc Atlanta GA 11/2016 06/2023
Wells Fargo Advisors Financial Network, Llc Atlanta GA 06/2023 Present
Previous Registrations
Other Businesses

JAMM FINANCIAL LLC, INVT RELATED, MARIETTA, GA, 100% OWNERSHIP, START DATE 7/14/2023, 160 HRS PER MONTH, 160 HRS DURING TRADING, FINET PRACTICE. RENTAL PROPERTY, INV RELATED, ASPEN, CO, 100% OWNERSHIP, START DATE: 1/1/15, 0 HRS PER MONTH, 0 HRS DURING TRADING. ASCENDING CAPITAL MANAGEMENT LLC; INV RELATED; ATLANTA, GA; 48% OWNERSHIP; START DATE 1/8/2024; 160 HOURS PER MONTH; 160 DURING TRADING; FINET PRACTICE.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2000-08-07
S63 Uniform Securities Agent State Law Examination 2000-07-10
  • S65 Uniform Investment Adviser Law Examination
    2000-08-07
  • S63 Uniform Securities Agent State Law Examination
    2000-07-10
Other Names
  • Seth M Asher

View on SEC IAPD

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