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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 | 2024-06-25 |
| TX | RA | APPROVED_RES | 2019-11-15 |
| SC | RA | APPROVED | 1997-12-15 |
Branch Locations
320 Broad St, Charleston, SC 29401 • United States
Highlands, NC • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Hot Shot Charters Llc | Charleston | SC | 06/2004 | Present |
| Wells Fargo Advisors Llc | Charleston | SC | 05/2009 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Charleston | SC | 11/2016 | Present |
1. NEW TOWN PROPERTIES LLC; INVESTMENT RELATED; CHARLESTON, SC; 100% OWNED W/SPOUSE; START 7/2009; 0 HRS PER MONTH. 2. FULL CIRCLE PROPERTIES LLC, INV RELATED, CHARLESTON, SC, 100% OWNERSHIP, START 7/14/2006, ZERO HOURS PER MONTH, ZERO DURING TRADING, HOLDS RENTAL PROPERTY, 3. RENTAL PROPERTY, INV RELATED, CHARELESTON, SC, 100% OWNERHSIP, START 4/1/2023, 1 HOUR PER MONTH, ZERO HOURS DURING TRADING. HIGHLANDS HOUSE LLC; INV RELATED; HIGHLANDS, NC; 100% OWNERSHIP; START: 4/5/2023; 0 HOURS PER MONTH; 0 DURING TRADING; HOLD RENTAL PROPERTY. DOWN THREE DOORS LLC; INV RELATED; CHARLESTON, SC; 100% OWNERSHIP; START: 4/5/2023; 0 HOURS PER MONTH; 0 DURING TRADING; HOLD RENTAL PROPERTY. | PODCAST; NOT INV RELATED; NA; 100% OWNERSHIP; 03/2025; 5 HOURS PER MONTH; 5 HOURS DURING TRADING; HOST OF OWN NON-BUSINESS PODCAST
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1996-03-11 |
| S63 | Uniform Securities Agent State Law Examination | 1994-06-24 |
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