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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 |
|---|---|---|---|
| NJ | RA | APPROVED | 2019-04-10 |
| FL | RA | APPROVED | 2019-04-08 |
Branch Locations
2205 Mcgregor Blvd, Fort Myers, FL 33901 • United States
Fort Myers, FL • 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 |
|---|---|---|---|---|
| Ubs Financial Services Inc | New York | NY | 12/2008 | 04/2019 |
| Wells Fargo Advisors Financial Network, Llc | Fort Myers | FL | 04/2019 | Present |
RAUCH FINANCIAL SERVICES, LLC, INVT RELATED, FORT MYERS, FL, 100% OWNERSHIP, START DATE 3/29/2019, 20 HRS PER MONTH, 20 HRS DURING TRADING, FINET PRACTICE. | ESTATE OF RALPH J MAHER; INVESTMENT RELATED; ZEPHYR COVE, NV; EXECUTOR; 12/16/2024; 2 HOURS PER MONTH; NONE DURING TRADING HOURS; EXECUTOR EST OF RALPH JOHN MAHER; INV RELATED;FORT MYERS,FL; PA FOR FAMILY ACCOUNT; PERSONAL REPRESENTATIVE; START DATE: 07/01/2026; 1 HRS PER MONTH; 0 HRS DURING TRADING;
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2007-11-28 |
| S63 | Uniform Securities Agent State Law Examination | 1979-09-12 |
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