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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 | 2019-08-28 |
| NC | RA | APPROVED | 2006-06-26 |
Branch Locations
550 S Tryon St 44Th & 45Th Fls, Charlotte, NC 28202 • 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 | Charlotte | NC | 05/2009 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Charlotte | NC | 11/2016 | Present |
K.O. CARLS, LLC, NOT INVT RELATED, CHARLOTTE, NC, 50% OWNERSHIP, START DATE 5/22/2020, 10 HRS PER MONTH, 0 HRS DURING TRADING, RESEARCHING CARS FOR INVT PURPOSES. SAND TIDE HOLDINGS, LLC, INVT RELATED, CHARLOTTE, NC, 100% OWNERSHIP, START DATE 4/4/2022, 10 HRS PER MONTH, 0 HRS DURING TRADING, SOLE MEMBER OF LLC FOR REAL ESTATE INVESTMENTS. RACEWAY WMO, LLC; NOT INV. RELATED; CHARLOTTE,NC; 100% OWNERSHIP; START DATE 02/24/2023; NUMBER OF HOURS PER MONTH 0; NUMBER OF HOURS DURING TRADING 0; PURCHASING RACE CARS.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2002-09-13 |
| S63 | Uniform Securities Agent State Law Examination | 1996-07-19 |
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