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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 |
|---|---|---|---|
| CT | RA | APPROVED | 2023-11-02 |
| TX | RA | APPROVED | 2023-11-02 |
Branch Locations
1300 Post Rd Ste 203, Fairfield, CT 06824 • United States
30 Buxton Farm Road Suite 120 [Satellite], Stamford, CT 06905 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors, Llc | Old Greenwich | CT | 10/2014 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Old Greenwich | CT | 11/2016 | 11/2023 |
| Wells Fargo Advisors Financial Network, Llc | Stamford | CT | 11/2023 | Present |
ENTITY 3 LLC, INV RELATED, STAMFORD, CT, 100% OWNERSHIP, START DATE: 11/2/23, 200 HRS PER MONTH, 6.5 HRS DURING TRADING, FINET PRACTICE; Rich, McManus & Goett Group, LLC, expenses for FiNet business related activity, 33.33% Ownership, Started 10/23, 2 hours per month, no hours during trading (holds the lease, pays electric etc.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2015-01-03 |
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