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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2023-01-30 |
| ME | RA | APPROVED | 2022-06-23 |
Branch Locations
100 Middle Street 3Rd Floor, Portland, ME 04101 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | Portland | ME | 05/2009 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Portland | ME | 11/2016 | 09/2019 |
| Cuna Mutual Group | Waverly | IA | 09/2019 | 09/2021 |
| Cuna Brokerage Services Inc. | Waverly | IA | 09/2019 | 09/2021 |
| Prudential Insurance Company Of America | Portland | ME | 09/2021 | 06/2022 |
| Pruco Securities, Llc. | Portland | ME | 09/2021 | 06/2022 |
| Morgan Stanley | Portland | ME | 06/2022 | Present |
*596348- City of Saco, Maine; Investment related: No; Saco, Maine; Government; Election Worker (proprietor, partner, officer, director, employee, trustee, agent); 06/2024; During business hours: 0; After business hours: 10; Administrative
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2002-01-09 |
| S63 | Uniform Securities Agent State Law Examination | 1997-12-11 |
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