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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 |
|---|---|---|---|
| NJ | RA | APPROVED | 2023-05-19 |
| TX | RA | APPROVED | 2023-05-19 |
Branch Locations
331 Newman Springs Road Building 1, Red Bank, NJ 07701 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Pinebridge Securities Llc | New York | NY | 06/2014 | 06/2019 |
| Wells Fargo Clearing Services Llc | Red Bank | NJ | 09/2019 | 05/2023 |
| Wells Fargo Advisors Financial Network, Llc | Red Bank | NJ | 05/2023 | Present |
MKTHOMPSON LLC, INV RELATED, FAIR HAVEN, NJ, 100% OWNERSHIP, START 3/20/2023, 1 HOUR PER MONTH, ZERO HOURS DURING TRADING, FINET PRACTICE. MARINUS FINANCIAL LLC, INV RELATED, RED BANK, NJ, 16.66% OWNERSHIP, START 11/29/2022, 1 HOUR PER MONTH, ZERO HOURS DURING TRADING, FINET PRACTICE.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2019-11-02 |
| S65 | Uniform Investment Adviser Law Examination | 2013-12-30 |
| S63 | Uniform Securities Agent State Law Examination | 2012-08-18 |
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