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Current Employers
Wells Fargo Advisors Financial Network, Llc

One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States

Current Registrations

AuthorityCategoryStatusDate
NV RA APPROVED 2022-06-28
TX RA APPROVED 2022-05-19
  • NV RA
    APPROVED
    Since 2022-06-28
  • TX RA
    APPROVED
    Since 2022-05-19

Branch Locations

6900 S Mccarran Blvd Ste 1030, Reno, NV 89509 • United States

Disclosures

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.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Wells Fargo Advisors Llc Reno NV 05/2009 11/2016
Wells Fargo Clearing Services, Llc Reno NV 11/2016 05/2022
Wells Fargo Advisors Financial Network, Llc Reno NV 05/2022 Present
Previous Registrations
Other Businesses

1. HPJ WEALTH MANAGEMENT LLC, INV RELATED, RENO, NV, 100% OWNERSHIP, START 5/20/2022, 160 HOURS PER MONTH, 8 HOURS DURING TRADING, FINET PRACTICE. 2. ECONOMIC DEVELOPMENT AUTHORITY OF WESTERN NEVADA; NOT INV. RELATED; RENO, NV; BOARD MEMBER; START DATE 10/1/2024; 1 HR PER MONTH; 0 HRS DURING TRADING; DUTIES: ATTEND MEETINGS, ASSIST CEO IN BOARD MEETINGS, SPECIAL EVENTS.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1994-05-11
  • S63 Uniform Securities Agent State Law Examination
    1994-05-11
Other Names
  • Richard Lee Jay

View on SEC IAPD

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