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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
NY RA APPROVED 2021-07-27
NJ RA APPROVED 2016-11-14
TX RA APPROVED_RES 2016-11-10
  • NY RA
    APPROVED
    Since 2021-07-27
  • NJ RA
    APPROVED
    Since 2016-11-14
  • TX RA
    APPROVED_RES
    Since 2016-11-10

Branch Locations

4864 Arthur Kill Road Unit 1 A 1 B, Staten Island, NY 10309 • United States

Disclosures

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.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated New York NY 10/2009 11/2016
Bank Of America, Na New York NY 11/2009 11/2016
Wells Fargo Advisors Financial Network, Llc Staten Island NY 11/2016 Present
Previous Registrations
  • 2009-10-23 → 2016-11-14
    New York, NY
    New York, NY
    New York, NY
    Staten Island, NY
    New York, NY
  • 2004-10-20 → 2009-10-23
    Banc Of America Investment Services, Inc.
    New York, NY
    New York, NY
    New York, NY
  • 2002-11-25 → 2004-10-20
    Quick & Reilly, Inc.
    Brooklyn, NY
Other Businesses

MIKE ANTHONY GROUP, INV RELATED, 100% OWNERSHIP, STATEN ISLAND, NY, START 11/9/2016, 160 HOURS PER MONTH, 6.5 HOURS DURING TRADING, FINET PRACTICE.; TRUSTEE FOR FINET PRACTICE PSP; INV. RELATED; STATEN ISLAND, NY; START DATE 1/11/2021.; TRUSTEE FOR FINET PRACTICE PSP FBO ASSOCIATE; INV. RELATED; STATEN ISLAND, NY; START DATE 1/11/2021.; POWER OF ATTORNEY FOR SECOND COUSIN, INV RELATED, BROOKLYN, NY, START: 12/01/2023, 4 HOURS A MONTH, 0 HOURS DURING TRADING.; TRUSTEE FOR COUSIN, INVT RELATED, STATEN ISLAND, NY, START DATE 3/8/2024, 2 HRS PER MONTH, 1 HR DURING TRADING.; ADMINISTRATOR FOR COUSIN, INVT RELATED, OLD BRIDGE, NJ, START DATE 4/1/2024, 2 HRS PER MONTH, 5 HRS DURING TRADING.; EXECUTOR FOR COUSIN, INV RELATED, STATEN ISLAND, NY, START: 7/1/2024, 1 HOUR A MONTH, 1 HOUR DURING TRADING. EXECUTOR FOR MOTHER; INV RELATED; OLD BRIDGE,NJ; SETTLE MOTHERS ESTATE; EXECUTOR/CO-EXECUTOR/PERSONAL REPRESENTATIVE; START DATE: 12/01/2025; 2 HRS PER MONTH; 2 HRS DURING TRADING;|

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-07-14
S63 Uniform Securities Agent State Law Examination 1990-03-09
  • S65 Uniform Investment Adviser Law Examination
    1999-07-14
  • S63 Uniform Securities Agent State Law Examination
    1990-03-09

View on SEC IAPD

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