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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 | 2020-10-29 |
| WA | RA | APPROVED | 2008-01-01 |
Branch Locations
555 110Th Ave Ne 10Th Fl, Bellevue, WA 98004 • 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 | Kirkland | WA | 05/2009 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Kirkland | WA | 11/2016 | Present |
TRAPPERS LANDING #5 RENTAL PROPERTY; INV RELATED; SUN PEAKS, CANADA; 100 OWNERSHIP WITH SPOUSE; NO TIME DEVOTED. KIRKLAND PERFORMANCE CENTER; INVESTMENT RELATED; KIRKLAND,WA; ENDOWMENT COMMITTEE CHAIR; START DATE 01/01/2005; NUBMER OF HOURS PER MONTH 2; NUMBER OF HOURS DURING TRADING 0; ATTENDING MEETINGS TO DISCUSS THE ECONOMY, THE MARKETS, THE ORGANIZATION'S FINANCES, AND DETERMINE THE APPROPRIATE INVESTMENT ALLOCATION THAT IS DIRECTED BY A BOARD APPROVED INVESTMENT POLICY STATEMENT. TOWN OF YARROW POINT PLANNING COMMISSION; NOT INV. RELATED; PLANNING COMMISSIONER; START DATE 3/1/2021; 2 HRS PER MONTH; 0 HRS DURING TRADING; DUTIES: ATTEND MONTHLY MEETINGS AND ASSIST IN DEVELOPMENT OF POLICIES AND CODES.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1994-10-14 |
| S63 | Uniform Securities Agent State Law Examination | 1991-08-01 |
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