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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 | 2023-11-03 |
| TX | RA | APPROVED_RES | 2023-11-03 |
Branch Locations
1300 Post Rd Ste 203, Fairfield, CT 06824 • United States
30 Buxton Farm Road Suite 120 [Satellite], Stamford, CT 06905 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | Old Greenwich | CT | 10/2013 | 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 |
TRUSTEE FOR MOTHER IN LAW, INV RELATED, STAMFORD, CT, START: 11/17/2015, 1 HOUR A MONTH, 0 HOURS DURING TRADING. DONALD RICH LLC; INV RELATED; STAMFORD, CT; 100% OWNERSHIP; START 11/3/2023; 1 HOUR PER MONTH; 0 HOURS DURING TRADING; FINET PRACTICE. RICH MCMANUS & GOETT GROUP LLC, INV RELATED, STAMFORD, CT, 33.34% OWNERSHIP, START 10/11/23, 1 HR PER MONTH, 0 HRS DURING TRADING, FINET PRACTICE;
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1997-06-16 |
| S63 | Uniform Securities Agent State Law Examination | 1980-09-09 |
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