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Current Employers
Wells Fargo Advisors Financial Network, Llc

One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2024-06-26
CT RA APPROVED 2019-01-31
TX RA APPROVED 2019-01-31
  • NY RA
    APPROVED
    Since 2024-06-26
  • CT RA
    APPROVED
    Since 2019-01-31
  • TX RA
    APPROVED
    Since 2019-01-31

Branch Locations

1700 E Putnam Ave Ste 200, Old Greenwich, CT 06870 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Wells Fargo Advisors, Llc Old Greenwich CT 05/2014 11/2016
Wells Fargo Clearing Services, Llc Old Greenwich CT 11/2016 01/2019
Wells Fargo Advisors Financial Network, Llc Old Greenwich CT 01/2019 Present
Previous Registrations
Other Businesses

CUTLER ANDREWS CAPITAL MANAGEMENT, INV RELATED, OLD GREENWICH, CT, 12% OWNERSHIP, START 11/1/2018, 40 HOURS PER MONTH, 40 HOURS DURING TRADING, SHARED FINET PRACTICE.| SHARPE 75 CORPORATION, INV RELATED, OLD GREENWICH, CT, 100% OWNERSHIP, START 2/1/2019, 40 HOURS PER MONTH, 40 HOURS DURING TRADING, FINET PRACTICE.|STAVIS 2026 ANNUAL EXCLUSION TRUST ; NOT INV RELATED;LARCHMONT,NY; TRUSTEE OF TRUST FOR BENEFIT OF DAUGHTER;TRUSTEE/CO-TRUSTEE% OWNERSHIP; START DATE: 08/03/2026; 1 HRS PER MONTH; 0 HRS DURING TRADING; FINRA, NOT INV RELATED, NEW YORK, NY, ARBITRATOR, START 8/1/2019, 1 HOUR PER MONTH, ZERO DURING TRADING, REVIEW AND HELP ADMINISTER CASES.;| TRUSTEE FOR SHARPE 75 401K, INV RELATED, NEW YORK, NY, START 12/04/2019, 1 HR/MONTH, 0 HRS DURING TRADING, FINET PRACTICE 401K.| MERRITT POINT WEALTH ADVISORS LLC, INV RELATED, OLD GREENWICH, CT, 33% OWNERSHIP, START 11/1/2020, ZERO HOURS PER MONTH, ZERO DURING TRADING, BUSINESS ADMIN FOR PRACTICE.| MPF HOLDINGS LLC, INV RELATED, OLD GREENWICH, CT, 44% OWNERSHIP, START 3/15/2023, 0 HRS PER MONTH AND DURING TRADING, FINET PRACTICE.| MPWA, LLC, INV RELATED, OLD GREENWICH, CT, 44% OWNERSHIP, START 3/15/2023, 0 HRS PER MONTH AND DURING TRADING, FINET PRACTICE.| MPWP LLC, INV RELATED, OLD GREENWICH, CT, 38.94% OWNERSHIP, START 3/24/2025, 1 HOUR PER MONTH, ZERO HOURS DURING TRADING, FINET PRACTICE.| MERRITT POINT GROWTH PARTNERS, LLC; INV RELATED; OLD GREENWICH, CT; 22.7% OWNERSHIP; START: 12/13/2024; 2 HOURS A MONTH; 0 HOURS DURING TRADING; MERCHANT SPV.|

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2015-01-26
  • S66 Uniform Combined State Law Examination
    2015-01-26
Other Names
  • Ross M Bauer

View on SEC IAPD

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