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Tami Susan Carlock

Wells Fargo Advisors Financial Network, LLC

Onamia, MN

Wayzata, MN

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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
MN RA APPROVED 2019-11-01
TX RA APPROVED 2019-11-01
  • MN RA
    APPROVED
    Since 2019-11-01
  • TX RA
    APPROVED
    Since 2019-11-01

Branch Locations

Onamia, MN • United States

701 Lake Street E Ste 200 [Satellite], Wayzata, MN 55391 • 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 Mound MN 04/2015 11/2016
Wells Fargo Clearing Services, Llc Mound MN 11/2016 11/2019
Wells Fargo Advisors Financial Network, Llc Wayzata MN 11/2019 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2015-07-07
S63 Uniform Securities Agent State Law Examination 2015-06-17
  • S65 Uniform Investment Adviser Law Examination
    2015-07-07
  • S63 Uniform Securities Agent State Law Examination
    2015-06-17
Other Names
  • Tami Susan Thompson
  • Tami Susan Carlock
  • Tami Carlock

View on SEC IAPD

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