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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 |
|---|---|---|---|
| KY | RA | APPROVED | 2020-02-27 |
| TX | RA | APPROVED_RES | 2009-04-24 |
| IN | RA | APPROVED | 2009-03-27 |
Branch Locations
297 N Hubbards Ln 2Nd & 3Rd Fl, Louisville, KY 40207 • United States
Jeffersonville, IN • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | New Albany | IN | 05/2009 | 11/2016 |
| Wells Fargo Clearing Services, Llc | New Albany | IN | 11/2016 | Present |
E & L REAL ESTATE LLC, INV RELATED, JEFFERSONVILLE, IN, 100% OWNERSHIP WITH A SPOUSE, START 6/16/2009, 2 HOURS PER MONTH, ZERO HOURS DURING TRADING, HOLDS RENTAL PROPERTY.| RIVER RIDGE DEVELOPMENT AUTHORITY; NOT INV. RELATED; JEFFERSONVILLE, IN; BOARD MEMBER; START DATE 4/15/2024; 1 HOUR PER MONTH; 1 HOUR DURING TRADING; DUTIES: ATTEND MEETINGS, GOVERN THE OVERALL POLICIES AND PROCEDURES OF RIVER RIDGE COMMERCE CENTER.| CLARK FLOYD COUNTIES CONVENTION TOURISM BUREAU; NOT INV RELATED; JEFFERSONVILLE, IN; BOARD MEMBER; START DATE 03/19/2025; 1 HOUR PER MONTH; 1 HOUR DURING TRADING BEQUEST FROM ESTATE OF FRIEND; INV RELATED;JEFFERSONVILLE,IN; RECEIVE PROCEEDS OF AN ESTATE; BENEFICIARY; START DATE: 08/03/2026; 1 HRS PER MONTH; 0 HRS DURING TRADING;
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2014-09-04 |
| S63 | Uniform Securities Agent State Law Examination | 1992-04-03 |
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