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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 |
|---|---|---|---|
| NY | RA | APPROVED | 2024-07-05 |
| CT | RA | APPROVED | 2024-06-17 |
| TX | RA | APPROVED | 2024-06-14 |
Branch Locations
285 Riverside Ave Suite 250 [Satellite], Westport, CT 06880 • United States
7200 Wisconsin Ave Ste 903, Bethesda, MD 20814 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | Westport | CT | 03/2014 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Westport | CT | 11/2016 | 06/2024 |
| Wells Fargo Advisors Financial Network, Llc | Westport | CT | 06/2024 | Present |
ROCKEE POINT, LLC, INVT RELATED, SOUTH SALEM, NY, 100% OWNERSHIP, START DATE 6/14/2024, 2-3 HRS PER MONTH, 0 HRS DURING TRADING, TRANSITIONING TO FINET. | PHILLIPS GP, LLC;INV RELATED; SOUTH SALEM ,NY; MERCHANT PARTNERSHIP;90% OWNERSHIP;CO-OWNER; START DATE: 08/11/2025; 1 HRS PER MONTH; 0 HRS DURING TRADING;|
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2003-10-06 |
| S63 | Uniform Securities Agent State Law Examination | 1995-06-16 |
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