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1717 Arch Street, Philadelphia, PA 19103 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| SC | RA | APPROVED | 2022-02-17 |
Branch Locations
135 N. Church Street Suite 130, Spartanburg, SC 29306 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | Spartanburg | SC | 05/2009 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Spartanburg | SC | 11/2016 | 02/2022 |
| Janney Montgomery Scott Llc | Spartanburg | SC | 02/2022 | Present |
1. Romeo Romeo, LLC, Pacolet, SC; Not Investment Related; Nature: Aircraft Ownership and Lease; Position/Title: Managing Director; Duties: Manage Aircraft; Devotes 1 hour/month. 2. Walnut Place Properties, LLC, Pacolet, SC. Member (09/2024) - spouse is the owner of real estate leasing business. Investment related, no compensated, no active role or time devoted.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2005-06-16 |
| S63 | Uniform Securities Agent State Law Examination | 2000-07-20 |
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