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777 E. Wisconsin Avenue, Milwaukee, WI 53202-5391 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2018-08-06 |
| TX | RA | APPROVED_RES | 2018-08-06 |
| NC | RA | APPROVED | 2018-08-03 |
Branch Locations
4350 Congress St Suite 400, Charlotte, NC 28209 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | Charlotte | NC | 05/2009 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Charlotte | NC | 11/2016 | 08/2018 |
| Robert W. Baird | Charlotte | NC | 08/2018 | Present |
1)RENTAL PROPERTY; INVESTMENT RELATED; CHARLOTTE, NC; 100% OWNERSHIP WITH SPOUSE; START DATE = 01/01/1996; LESS THAN ONE HOUR DEVOTED PER MONTH; NOT DURING TRADING HOURS; DUTIES: PROPERTY OWNER - DELEGATE ALL DUTIES TO PROPERTY MANAGER. Name/Address: NLA Diagnostics, LLC 2359 Perimeter Pointe Pkwy Suite 270 Charlotte NC 28208 Start Date: 11/8/10 Hours Spent: 0-2 hours/month Hours Spent During Trading: 0-1 hours/month Role/Responsibility: Investor Investment Related
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2005-04-26 |
| S65 | Uniform Investment Adviser Law Examination | 1994-12-14 |
| S63 | Uniform Securities Agent State Law Examination | 1992-04-14 |
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