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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 |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2022-10-13 |
| CA | RA | APPROVED | 2016-10-28 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors Financial Network, Llc | San Jose | CA | 08/2016 | Present |
LAM FINANCIAL INC; INV RELATED; SAN JOSE, CA; FINET S CORP; 100% OWNERSHIP; START DATE 03/11/2025; 160 HOURS PER MONTH; 160 HOURS DURING TRADING FINRA ; INV RELATED;WASHINGTON DC,DC; FINRA; NON-PUBLIC ARBITRATOR; START DATE: 7/15/2026; 1 HRS PER MONTH; 0 HRS DURING TRADING;
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2016-10-28 |
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