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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_RES | 2024-06-10 |
| ME | RA | APPROVED | 2024-05-17 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| 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 |
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2013-03-04 |
| S65 | Uniform Investment Adviser Law Examination | 2013-02-22 |
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