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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2023-06-06 |
| NM | RA | APPROVED | 2022-05-04 |
Branch Locations
2 disclosure categories 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 Bank Na | Chesapeake | VA | 04/2011 | 02/2018 |
| Wells Fargo Advisors Llc | Chesapeake | VA | 04/2013 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Chesapeake | VA | 11/2016 | 02/2018 |
| Raymond James & Associates | Santa Fe | NM | 02/2018 | 08/2020 |
| Bankers Life & Casualty, Inc | Albuquerque | NM | 08/2020 | 04/2022 |
| Bankers Life Securities, Inc | Albuquerque | NM | 08/2020 | 04/2022 |
| Bankers Life Advisory Services, Inc | Albuquerque | NM | 08/2020 | 04/2022 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Santa Fe | NM | 02/2022 | Present |
| Bank Of America, N.A. | Santa Fe | NM | 06/2023 | Present |
Agent with BLC
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2015-01-15 |
| S63 | Uniform Securities Agent State Law Examination | 2013-06-12 |
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