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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 |
|---|---|---|---|
| NJ | RA | APPROVED | 2015-07-06 |
Branch Locations
331 Newman Springs Rd Bldg 2, 3Rd Fl, Red Bank, NJ 07701 • United States
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 | New York | NY | 05/2009 | 11/2016 |
| Wells Fargo Clearing Services, Llc | New York | NY | 11/2016 | Present |
RESIDENTIAL REAL ESTATE, INVESTMENT RELATED, WAVES NC, RENTAL PROPERTY, OWNER, BEGAN 2/2007, 1-2 HOURS/MONTH, NOT DURING BUSINESS HOURS. TRUSTEE OF FATHER'S TRUST; INV. RELATED; CALIFORNIA; START 6/2019; 5 HRS PER MONTH; 0 HRS DURING TRADING. EXECUTOR OF FATHER'S ESTATE; INV. RELATED; CALIFORNIA; START 6/2019; 5 HRS PER MONTH; 0 HRS DURING TRADING. FINRA ARBITRATION, INV RELATED, NEW YORK, NY, PANEL MEMBER, START 1/1/2020, 8 HOURS PER MONTH, 8 HOURS DURING TRADING, ARBITRATION.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1993-07-22 |
| S63 | Uniform Securities Agent State Law Examination | 1993-04-20 |
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