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40 Burton Hills Blvd Suite 350, Nashville, TN 37215 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IL | RA | APPROVED | 2024-09-13 |
| TX | RA | APPROVED | 2024-09-13 |
Branch Locations
100 N Field Drive Suite 170, Lake Forest , IL 60045 • United States
7701 Forsyth Blvd. 8Th Floor, Clayton, MO 63105 • United States
40 Burton Hills Blvd Suite 350, Nashville, TN 37215 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | Lake Forest | IL | 12/2010 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Lake Forest | IL | 11/2016 | 02/2023 |
| Wells Fargo Advisors Financial Network, Llc | Lake Forest | IL | 02/2023 | 09/2024 |
| &Partners | Nashville | TN | 09/2024 | Present |
RSMS STT LLC POSITION: Manager NATURE: Own Condominium for personal and rental business INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 07/10/2023 ADDRESS: Lake Bluff, IL 60044, United States RICHARD STANFEL FLP POSITION: Managing Partner NATURE: Owns real estate holdings. INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 06/22/2015 ADDRESS: Lake Bluff, IL. 60044, United States
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2011-01-10 |
| S63 | Uniform Securities Agent State Law Examination | 2010-09-14 |
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