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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
NC RA APPROVED 2020-10-05
  • NC RA
    APPROVED
    Since 2020-10-05

Branch Locations

7615 Colony Rd Ste 215A, Charlotte, NC 28226 • 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
Dixon Wells Charlotte NC 02/2014 09/2020
Signator Investors, Inc. Charlotte NC 05/2016 11/2018
Royal Alliance Associates, Inc. Charlotte NC 11/2018 10/2020
Wells Fargo Advisors Financial Network, Llc Charlotte NC 10/2020 Present
  • 02/2014 → 09/2020
    Dixon Wells
    Charlotte, NC
  • 05/2016 → 11/2018
    Signator Investors, Inc.
    Charlotte, NC
  • 11/2018 → 10/2020
    Royal Alliance Associates, Inc.
    Charlotte, NC
  • 10/2020 → Present
    Charlotte, NC
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2016-02-02
  • S66 Uniform Combined State Law Examination
    2016-02-02

View on SEC IAPD

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