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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_RES | 2016-10-03 |
| AZ | RA | APPROVED | 2011-01-03 |
Branch Locations
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 | Prescott | AZ | 01/2011 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Prescott | AZ | 11/2016 | Present |
ROCKIN A CONCRETE, NOT INV RELATED, PRESCOTT VALLEY, AZ, 100% OWNERSHIP BY SPOUSE/AUTHORIZED SIGNER, START 11/6/2019, 3 HOURS PER MONTH, ZERO DURING TRADING, CONCRETE CONSTRUCTION.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2002-08-09 |
| S63 | Uniform Securities Agent State Law Examination | 1993-01-29 |
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