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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 | 2016-08-23 |
| CO | RA | APPROVED | 2009-03-13 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors Financial Network Llc | Broomfield | CO | 05/2009 | Present |
RENTAL PROPERTY; INV. RELATED; FRASER, CO; CO-OWNER; START DATE 12/2014; 0 HRS PER MONTH. ARBROATH CAPITAL, INV RELATED, WESTMINISTER, CO., 100% OWNERSHIP, START: 2/1/16, 25 HOURS/MONTH, 0 DURING TRADING, COMPENSATES ADDITIONAL SUPPORT STAFF FOR BUSINESS PRACTICE. POWER OF ATTORNEY FOR MOTHER; INV. RELATED; BOULDER, CO; START DATE 5/10/2016; 5 HRS PER MONTH; 0 HRS DURING TRADING.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1995-09-25 |
| S63 | Uniform Securities Agent State Law Examination | 1995-08-31 |
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