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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 | 2021-07-23 |
| NJ | RA | APPROVED | 2008-05-15 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | Albany | NY | 05/2009 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Albany | NY | 11/2016 | Present |
RENTAL PROPERTY; INV RELATED; HUDSON FALLS, NY; 100% OWNERSHIP; START 11/6/2015; 4 HOURS PER MONTH, 0 DURING TRADING; LANDLORD. EXECUTOR FOR UNCLE'S ESTATE; INV RELATED; ALBANY, NY; START DATE 11/6/2015; 4 HRS PER MONTH. EXECUTOR FOR GRANDFATHER'S ESTATE; INV RELATED; ALBANY, NY; START DATE 11/6/2015; 4 HRS PER MONTH. WILDWOOD FOUNDATION; NOT INV. RELATED; LATHAM,NY; AUDIT COMMITTEE MEMBER; START DATE 05/01/2023; NUMBER OF HOURS PER MONTH 1; NUMBER OF HOURS DURING TRADING 0; ATTENDING MEETINGS TO DISCUSS FISCAL REPORTS, OBSERVATIONS REGARDING INTERNAL CONTROL, MANAGEMENT, AND FRAUD CONSIDERATIONS. WILDWOOD FOUNDATION; INV. RELATED; LATHAM,NY; TREASURER; START DATE 05/01/2023; NUMBER OF HOURS PER MONTH 2; NUMBER OF HOURS DURING TRADING 0; ATTENDING MEETINGS TO VOTE ON VARIOUS TYPES OF RESOLUTIONS.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2008-03-10 |
| S63 | Uniform Securities Agent State Law Examination | 2002-12-18 |
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