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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 |
|---|---|---|---|
| RI | RA | APPROVED | 2025-03-11 |
| TX | RA | APPROVED | 2018-09-28 |
| NJ | RA | APPROVED | 2018-07-05 |
Branch Locations
1513 Iyannough Rd 1St Fl Ste 3, Hyannis, MA 02601 • United States
1 Citizens Plz Ste 520, Providence, RI 02903 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Clearing Services, Llc | Hyannis | MA | 04/2018 | Present |
| Ellington Management Group | Old Greeenwich | CT | 08/2014 | 04/2018 |
RENTAL PROPERTY, INV RELATED, BARNSTABLE, MA, 100% OWNERSHIP, START 4/1/2021, 5 HOURS PER MONTH, ZERO HOURS DURING TRADING. BASS RIVER ROD AND GUN CLUB, INV RELATED, YARMOUTH PORT, MA, FINANCE COMMITTEE MEMBER, START 10/1/24, 5 HOURS PER MONTH, ZERO HOURS DURING TRADING, EQUIPMENT INVESTMENTS, DUES AND BUDGET. HAGEN HOLDINGS, LLC, INVT RELATED, YARMOUTH PORT, MA, PRESIDENT/100% OWNERSHIP, START DATE 7/15/2024, 10 HRS PER MONTH, 0 HRS DURING TRADING, LLC TO HOLD RENTAL PROPERTY. RENTAL PROPERTY, INV RELATED, BARNSTABLE, MA, 100% OWNERSHIP, START 10/21/24, 4 HRS PER MONTH, 0 HRS DURING TRADING; BASS RIVER ROD AND GUN CLUB, INV RELATED, YARMOUTH PORT, MA, TREASURER, START 10/1/24, 5 HRS PER MONTH, 0 HRS DURING TRADING, REVIEW NON PROFIT FINANCIALS AND ENSURING LONG TERM FINANCIAL VIABILITY;
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2018-07-05 |
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