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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 2024-06-10
ME RA APPROVED 2024-05-17
  • TX RA
    APPROVED_RES
    Since 2024-06-10
  • ME RA
    APPROVED
    Since 2024-05-17

Branch Locations

23 Water St. Suite 203, Bangor, ME 04401 • 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
Morgan Stanley Wealth Management Portland ME 12/2012 04/2019
Morgan Stanley Private Bank, National Association New York NY 01/2015 04/2019
Cetera Investment Services Llc St Cloud MN 02/2020 04/2022
Cetera Investment Advisers Llc Ellsworth ME 02/2020 04/2022
First National Bank Ellsworth ME 02/2020 02/2020
First National Wealth Management Ellsworth ME 04/2019 02/2020
Wells Fargo Clearing Services, Llc. Bangor ME 04/2022 05/2024
Wells Fargo Advisors Financial Network, Llc Bangor ME 05/2024 Present
  • 12/2012 → 04/2019
    Morgan Stanley Wealth Management
    Portland, ME
  • 01/2015 → 04/2019
    Morgan Stanley Private Bank, National Association
    New York, NY
  • 02/2020 → 04/2022
    Cetera Investment Services Llc
    St Cloud, MN
  • 02/2020 → 04/2022
    Ellsworth, ME
  • 02/2020 → 02/2020
    First National Bank
    Ellsworth, ME
  • 04/2019 → 02/2020
    First National Wealth Management
    Ellsworth, ME
  • 04/2022 → 05/2024
    Bangor, ME
  • 05/2024 → Present
    Bangor, ME
Previous Registrations
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2013-03-04
S65 Uniform Investment Adviser Law Examination 2013-02-22
  • S63 Uniform Securities Agent State Law Examination
    2013-03-04
  • S65 Uniform Investment Adviser Law Examination
    2013-02-22

View on SEC IAPD

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