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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2025-05-14 |
| NC | RA | APPROVED | 2025-05-05 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Clearing Services, Llc | Charlotte | NC | 11/2020 | Present |
| Wells Fargo Bank, Na | Charlotte | NC | 05/2017 | 10/2020 |
| Wells Fargo Bank, Na | Charlotte | NC | 10/2016 | 05/2017 |
| Apex Fund Services (U.S.) Inc. | Charlotte | NC | 05/2016 | 10/2016 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Huntersville | NC | 04/2025 | Present |
| Bank Of America, N.A. | Huntersville | NC | 04/2025 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2021-02-02 |
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