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Current Employers
Wells Fargo Advisors Financial Network, Llc

One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2022-06-03
MT RA APPROVED 2022-06-02
  • TX RA
    APPROVED_RES
    Since 2022-06-03
  • MT RA
    APPROVED
    Since 2022-06-02

Branch Locations

970 Wyoming St Ste 301, Missoula, MT 59801 • United States

Disclosures

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.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Wells Fargo Advisors Llc Missoula MT 01/2013 11/2016
Wells Fargo Clearing Services, Llc Missoula MT 11/2016 06/2022
Wells Fargo Advisors Financial Network, Llc Missoula MT 06/2022 Present
Previous Registrations
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1995-09-09
S65 Uniform Investment Adviser Law Examination 1995-09-09
  • S63 Uniform Securities Agent State Law Examination
    1995-09-09
  • S65 Uniform Investment Adviser Law Examination
    1995-09-09
Other Names
  • Tom Wozniak
  • Thomas A Wozniak

View on SEC IAPD

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