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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| PA | RA | APPROVED | 2024-08-30 |
| TX | RA | APPROVED | 2024-08-30 |
Branch Locations
Six Tower Bridge, 181 Washington Street Suite 500, Conshohocken, PA 19428-2000 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors | Philadelphia | PA | 05/2012 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Philadelphia | PA | 11/2016 | 08/2024 |
| Rbc Capital Markets, Llc | Conshohocken | PA | 08/2024 | Present |
CO-TRUSTEE FOR DAUGHTER; INVESTMENT RELATED; RYDAL, PA; START DATE = 11/05/2003; MINIMAL TIME DEVOTED PER MONTH; NONE DURING TRADING HOURS. EXECUTOR FOR FATHER'S ESTATE; INV. RELATED; RYDAL, PA; START DATE 10/21/2016; 1 HR PER MONTH; 0 HRS DURING TRADING.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1996-05-24 |
| S63 | Uniform Securities Agent State Law Examination | 1996-05-03 |
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