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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 |
|---|---|---|---|
| NC | RA | APPROVED | 2024-10-25 |
| TX | RA | APPROVED | 2024-10-25 |
Branch Locations
550 S Tryon St 44Th & 45Th Fls, Charlotte, NC 28202 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors, Llc | Charlotte | NC | 10/2015 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Charlotte | NC | 11/2016 | 09/2017 |
| Pnc Investments | Charlotte | NC | 09/2017 | 09/2018 |
| Pnc Bank | Charlotte | NC | 09/2018 | 06/2019 |
| Pnc Investments | Charlotte | NC | 06/2019 | 12/2022 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Charlotte | NC | 12/2022 | 02/2023 |
| Bank Of America, N.A. | Charlotte | NC | 02/2023 | 10/2024 |
| Wells Fargo Clearing Services, Llc | Charlotte | NC | 10/2024 | Present |
FUNDFLUX BUSINESS CONSULTING LLC (PREVIOUSLY GAJ TRUCKING LLC); INV RELATED; CONCORD, NC; BUSINESS CONSULTING; 100% OWNERSHIP; START DATE 01/01/2025; 1 HOUR PER MONTH; 0 HOURS DURING TRADING
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2017-01-30 |
| S63 | Uniform Securities Agent State Law Examination | 2014-06-24 |
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