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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 |
|---|---|---|---|
| NY | RA | APPROVED | 2021-07-27 |
Branch Locations
2500 Westchester Ave Stes 201 & 203, Purchase, NY 10577 • United States
Bronxville, NY • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | White Plains | NY | 05/2009 | 11/2016 |
| Wells Fargo Clearing Services, Llc | White Plains | NY | 11/2016 | Present |
35 PARKVIEW TENANTS CORP., INV RELATED, BRONXVILLE, NY. INTERVIEW COMMITTEE MEMBER START 3/1/2015, LESS THAN 1 HOUR/MONTH, 0 DURING TRADING, APARTMENT BUILDING CONDITION AND STANDARDS MAINTENANCE. 35 PARKVIEW TENANTS COOP, NOT INV RELATED, BRONXVILLE, NY, BOARD MEMBER, START 10/25/2022, 5 HOURS PER MONTH, ZERO HOURS DURING TRADING, DISCUSS PROJECTS, BUILDING REPAIRS, RESIDENT ISSUES, EXPENSES, AND BUDGET. GARRET PARK NEIGHBORHOOD ASSOCIATION; NOT INV. RELATED; BRONXVILLE, NY; BOARD MEMBER; START 2/5/2018; 2 HRS PER MONTH; 0 HRS DURING TRADING; DISCUSS NEIGHBORHOOD ISSUES. EXECUTOR FOR MOTHER'S ESTATE, INV RELATED, BRONXVILLE, NY, START 4/10/2023, 6 HOURS A MONTH, 0 HOURS DURING TRADING. 35 PARKVIEW TENANTS CORP, NOT INV RELATED, BRONXVILLE, NY, START 11/19/24, VICE-PRESIDENT, 4 HRS PER MONTH, 0 HRS DURING TRADING, RUN MEETINGS AND SIGN DOCUMENTS IN THE ABSENCE OF THE PRESIDENT.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1994-02-10 |
| S63 | Uniform Securities Agent State Law Examination | 1992-07-16 |
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