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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 |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2014-07-23 |
| WA | RA | APPROVED | 2011-05-12 |
Branch Locations
3001 78Th Ave Se, Mercer Island, WA 98040 • United States
999 3Rd Ave 40Th Fl [Wh/Wk-Rbo], Seattle, WA 98104 • 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 | Seattle | WA | 05/2011 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Seattle | WA | 11/2016 | Present |
LAKEMONT POINTE HOA, INV RELATED, BELLEVUE, WA, PRESIDENT, START 9/1/2018, .5 HOURS PER MONTH, ZERO DURING TRADING, PRESIDING OVER MEETINGS, DISCUSSING CARE OF COMMON AREAS, HOME OWNER MAINTENANCE, SNOW REMOVAL, AND EXPECTATIONS OF RENTERS IN NEIGHBORHOOD.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1998-02-24 |
| S63 | Uniform Securities Agent State Law Examination | 1995-04-07 |
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