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1717 Arch Street, Philadelphia, PA 19103 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CT | RA | APPROVED | 2019-06-06 |
| TX | RA | APPROVED | 2019-06-05 |
Branch Locations
2150 Post Road 2Nd Floor, Fairfield, CT 06824-5669 • 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 Advisors Llc | Greenwich | CT | 05/2009 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Greenwich | CT | 11/2016 | 06/2019 |
| Janney Montgomery Scott Llc | Fairfield | CT | 06/2019 | Present |
Appointment - Conservatorship/Guardianship for son (03/1989), Fairfield, CT. Not compensated, devotes approx. 30 hours/month.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1997-10-17 |
| S63 | Uniform Securities Agent State Law Examination | 1990-01-04 |
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