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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 | 2023-08-09 |
| PA | RA | APPROVED | 2021-02-06 |
Branch Locations
201 Lackawanna Ave Suite 103, Scranton, PA 18503 • United States
8 W Broad St Ste 624 [Satellite], Hazleton, PA 18201 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors Financial Network, Llc | Hazleton | PA | 10/2020 | Present |
| Tri Mountain Ventures, Llc | Hazleton | PA | 07/2016 | 10/2020 |
LOAN, INV RELATED, SCRANTON, PA, START: 4/2019, 0 HRS/MONTH, 0 HRS DURING TRADING. TRUSTEE FOR FATHER (3), INV RELATED, HAZLETON, PA, START 12/30/2015, 1 HR/MONTH, 0 HRS DURING TRADING. TM INVESTMENTS I LLC, INV RELATED, HAZLETON, PA, 30% OWNERSHIP, START 7/1/2017, 1 HOUR PER MONTH, ZERO DUIRNG TRADING, HOLDS PRIVATE INVESTMENT. TM INVESTMENTS II LLC, INV RELATED, HAZLETON, PA, 25% OWNERSHIP, START 3/1/2018, 1 HOUR PER MONTH, ZERO DUIRNG TRADING, HOLDS PRIVATE INVESTMENT. TM INVESTMENTS III LLC, INV RELATED, HAZLETON, PA, 25% OWNERSHIP, START 12/1/2018, ZERO HOURS PER MONTH, ZERO DUIRNG TRADING, HOLDS PROMISSORY NOTE. TM INVESTMENTS IV LP, INV RELATED, HAZLETON, PA, 20% OWNERSHIP, START 5/1/2019, ZERO HOURS PER MONTH, ZERO DUIRNG TRADING, HOLDS PRIVATE INVESTMENT. TRI MOUNTAIN VENTURES LLC, INV RELATED, HAZLETON, PA, 100% OWNERSHIP, START 7/1/2016, 5 HOURS PER MONTH, ZERO DURING TRADING, FAMILY PERSONAL FINANCES. TRI MOUNTAIN PURE II LLC, INV RELATED, HAZLETON, PA, 33.33% OWNERSHIP, START 9/1/2019, ZERO HOURS PER MONTH, ZERO DURING TRADING, IN PROCESS OF CLOSING. DHD REALTY HOLDING LLC, INV RELATED, HAZLETON, PA, 16.67% OWNERSHIP, START 1/1/2012, 2 HOURS PER MONTH, ZERO DURING TRADING, HOLDS COMMERCIAL PROPERTY. PINES DOWNTOWN LLC, INV RELATED, HAZLETON, PA, MANAGER, START 4/1/2014, 1 HOUR PER MONTH, ZERO DURING TRADING, MEETING WITH THE GM OF FATHER'S LLC FOR RESTAURANT AND PROVIDING OVERSIGHT. TRI MOUNTAIN REALTY I LLC, INV RELATED, HAZLETON, PA, MANAGER, START 3/1/2017, 2 HOURS PER MONTH, ZERO DURING TRADING, REVIEWING LEASE WITH OWNER (FATHER) AND CONSTRUCTION WORK FOR COMMERCIAL TENANT. TM INVESTMENTS IV GP, INV RELATED, HAZLETON, PA, 100% OWNERSHIP, START 5/1/2019, ZERO HOURS PER MONTH, ZERO DURING TRADING, HOLDS OWNERSHIP OF TM INVESTMENT IV LP. DHD I LLC, INV RELATED, HAZLETON, PA, 16.67% OWNERSHIP, START 10/1/2012, ZERO HOURS PER MONTH, ZERO DURING TRADING, HOLDS COMMERCIAL RENTAL PROPERTY. DHD II LLC, INV RELATED, HAZLETON, PA, 16.67% OWNERSHIP, START 10/1/2012, ZERO HOURS PER MONTH, ZERO DURING TRADING, HOLDS COMMERCIAL RENTAL PROPERTY. DHD III LLC, INV RELATED, HAZLETON, PA, 16.67% OWNERSHIP, START 10/1/2012, ZERO HOURS PER MONTH, ZERO DURING TRADING, HOLDS COMMERCIAL RENTAL PROPERTY. DHD IV LLC,INV RELATED, HAZLETON, PA, 16.67% OWNERSHIP, START 7/1/2013, ZERO HOURS PER MONTH, ZERO DURING TRADING, HOLDS COMMERCIAL RENTAL PROPERTY. DHD V LLC, INV RELATED, HAZLETON, PA, 16.67% OWNERSHIP, START 9/1/2013, ZERO HOURS PER MONTH, ZERO DURING TRADING, HOLDS COMMERCIAL RENTAL PROPERTY. WILDWOOD LANE STABLES, LLC; NOT INV. RELATED; MOUNTAIN TOP, PA; START DATE 06/28/2021; NUMBER OF HOURS PER MONTH 0; NUMBER OF HOURS DURING TRADING 0; HOLDS A HORSE. ART & ALAN, LLC, INVT RELATED, HAZLETON, PA, 40% OWNERSHIP, START DATE 5/1/2023, 40 HRS PER MONTH, 32.5 HRS DURING TRADING, FINET PRACTICE. BFA REAL ESTATE LLC ; INV RELATED;HAZLETON,PA; REAL ESTATE ;40% OWNERSHIP; START DATE: 04/01/2026; 1 HRS PER MONTH; 0 HRS DURING TRADING;
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2021-02-06 |
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