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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 |
|---|---|---|---|
| CT | RA | APPROVED | 2026-04-15 |
Branch Locations
215 Cherry St, Milford, CT 06460 • United States
68 S Service Rd Ste 200 [C1-Rbo], Melville, NY 11747 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Bank, Na | Hemingway | CT | 11/2011 | Present |
| Wells Fargo Advisors, Llc | East Haven | CT | 04/2015 | 11/2016 |
| Wells Fargo Clearing Services, Llc | East Haven | CT | 11/2016 | 10/2018 |
| Wells Fargo Clearing Services, Llc | Hemingway | CT | 06/2019 | Present |
SHIRLEY ROSA DBA URBAN ROSE; INV RELATED; NEW HAVEN, CT; 100% OWNERSHIP; START 09/11/2023; 10 HOURS PER MONTH; 0 HOURS DURING TRADING; SOLE PROPRIETORSHIP.| CITY OF NEW HAVEN, CT; NOT INV RELATED; NEW HAVEN, CT; JUSTICE OF THE PEACE; START DATE 02/03/2025; 1 HOUR PER MONTH; 0 HOURS DURING TRADING
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2026-04-14 |
| S63 | Uniform Securities Agent State Law Examination | 2019-09-17 |
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