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24 West 40Th Street 15Th Floor, New York, NY 10018 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| LA | RA | APPROVED | 2023-06-12 |
Branch Locations
24 West 40Th Street 15Th Floor, New York, NY 10018 • United States
2529 Jena Street 2Nd Floor, New Orleans, LA 70115 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors, Llc | New Orleans | LA | 06/2015 | 11/2016 |
| Wells Fargo Clearing Services, Llc | New Orleans | LA | 11/2016 | 05/2023 |
| Ritholtz Wealth Management | New York | NY | 06/2023 | Present |
UNDERCURATOR FOR BROTHER, INV RELATED, SLIDELL, LA, START: 9/17/2013, 1 HR/MONTH, 0 HRS DURING TRADING. GUIDELIGHT, LLC, INVT RELATED, SLIDELL, LA, 100% OWNERSHIP, START DATE 2/1/2023, 5 HRS PER MONTH, 0 HRS DURING TRADING, REAL ESTATE INVESTING.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2015-11-02 |
| S63 | Uniform Securities Agent State Law Examination | 2012-06-15 |
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