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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 | 2010-09-13 |
Branch Locations
326 Commercial Street Suite A, Boston, MA 02109 • 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 Financial Network Llc | Boston | MA | 05/2009 | Present |
RENTAL PROPERTY; INVESTMENT RELATED; BOSTON, MA; OWNER / LANDLORD; COMMERCIAL BUILDING / OFFICE RENTAL; START DATE 11/2013; 5 HRS PER MONTH; 0 HRS DURING TRADING. JAMES THOMPSON DBA WELLS FARGO FINANCIAL NETWORK, INV RELATED, BOSTON, MA, 100% OWNERSHIP, START 7/1/2004, 40 HOURS PER MONTH, 7.5 HOURS DURING TRADING, FINET PRACTICE.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2004-08-18 |
| S63 | Uniform Securities Agent State Law Examination | 1990-03-05 |
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