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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 |
|---|---|---|---|
| CA | RA | APPROVED | 2022-10-12 |
| MN | RA | APPROVED | 2014-01-22 |
Branch Locations
400 Spectrum Center Dr Ste 2160, Irvine, CA 92618 • United States
5 Park Plaza 19Th & 20Th Fls [Lt/Sb/Sg-Rbo], Irvine, CA 92614 • United States
5 Park Plz 19Th & 20Th Fls, Irvine, CA 92614 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Bank Na | Bloomington | MN | 04/2013 | Present |
| Wells Fargo Advisors Llc | Bloomington | MN | 04/2013 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Bloomington | MN | 11/2016 | Present |
FINLEY JACK VR CO; INVESTMENT RELATED; MAMMOTH LAKES,CA; RENTAL PROPERTY;99% OWNERSHIP; START DATE 12/28/2018; NUMBER OF HOURS PER MONTH 4; NUMBER OF HOURS DURING TRADING 0; OWNER.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2022-11-08 |
| S63 | Uniform Securities Agent State Law Examination | 2011-07-01 |
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