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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 |
|---|---|---|---|
| IL | RA | APPROVED | 2019-01-08 |
| TX | RA | APPROVED | 2019-01-04 |
Branch Locations
2 Transam Plaza Dr Ste 290, Oakbrook Terrace, IL 60181 • United States
Elmhurst, IL • United States
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | Oak Brook | IL | 05/2009 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Oak Brook | IL | 11/2016 | 01/2019 |
| Wells Fargo Advisors Financial Network, Llc | Oakbrook Terrace | IL | 01/2019 | Present |
THE R-B FINANCIAL GROUP, INV RELATED, OAKBROOK TERRACE, IL, 50% OWNERSHIP, START 1/1/2019, 160 HOURS PER MONTH, 160 HOURS DURING TRADING, FINET PRACTICE. CO-TRUSTEE FOR THE R-B FINANCIAL GROUP 401K; INV RELATED; OAKBROOK TERRACE, IL; FINET PRACTICE; 1 HR/MO; 0 DURING TRADING. TRUSTEE FOR MOTHER'S TRUST; INV RELATED;OAK BROOK TERRACE,IL; ASSIST WITH FINANCES; TRUSTEE/CO-TRUSTEE; START DATE: 01/13/2009; 1 HRS PER MONTH; 1 HRS DURING TRADING;
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1996-01-30 |
| S63 | Uniform Securities Agent State Law Examination | 1994-08-10 |
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