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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 |
|---|---|---|---|
| NC | RA | APPROVED | 2024-11-25 |
| CA | RA | APPROVED | 2011-01-03 |
Branch Locations
401 S Tryon Street, Charlotte, NC 28202 • United States
One North Jefferson Avenue Mail Code: H0004-05G, St. Louis, MO 63103 • UNITED STATES
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Bank | Los Angeles | CA | 03/2006 | Present |
| Wells Fargo Advisors Llc | Los Angeles | CA | 01/2011 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Los Angeles | CA | 11/2016 | Present |
THE BROOKS HOMEOWNERS ASSOCIATION; NOT INV. RELATED; MONROE, NC; TREASURER; HOA; START DATE 11/1/2023 (NEW TERM 11/7/2024); 1 HR PER MOTNH; 0 HRS DURING TRADING; DUTIES: ATTEND MEETINGS, SENDING ANNUAL DUE NOTICES, COLLECT AND DEPOSIT ANNUAL HOA DUES, PAY BILLS, PREPARE BUDGET.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2008-08-01 |
| S63 | Uniform Securities Agent State Law Examination | 2005-12-05 |
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