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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 |
|---|---|---|---|
| WI | RA | APPROVED | 2025-08-30 |
| TX | RA | APPROVED_RES | 2025-07-31 |
Branch Locations
1715 W Paradise Drive Ground Fl, West Bend, WI 53095 • United States
Elkhorn, WI • United States
20800 Swenson Dr Suite 210 [Satellite], Waukesha , WI 53186 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wachovia Bank, N.A. | Addison | TX | 09/2006 | 07/2025 |
| Wells Fargo Advisors Llc | Houston | TX | 05/2009 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Houston | TX | 11/2016 | 07/2025 |
| Wells Fargo Advisors Financial Network, Llc | Waukesha | WI | 07/2025 | Present |
OPIE ASSET MANAGEMENT LLC; INVESTMENT RELATED; WEST BEND, WI; 100% OWNERSHIP; 02/07/2025; 10 HOURS PER MONTH; NO HOURS DURING TRADING HOURS; FINET PRACTICE HERITAGE PRIVATE WEALTH; INV RELATED;WAUKESHA,WI; FINET;10% OWNERSHIP; START DATE: 08/01/2025; 2 HRS PER MONTH; 2 HRS DURING TRADING;
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2005-12-15 |
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