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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 |
|---|---|---|---|
| NY | RA | APPROVED | 2024-06-26 |
| CT | RA | APPROVED | 2023-02-14 |
| TX | RA | APPROVED | 2023-02-10 |
Branch Locations
1700 E Putnam Ave Ste 200, Old Greenwich, CT 06870 • 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 | Westport | CT | 05/2009 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Westport | CT | 11/2016 | 02/2023 |
| Wells Fargo Advisors Financial Network, Llc | Old Greenwich | CT | 02/2023 | Present |
MERCEDES BENZ CLUB OF AMERICA, INV RELATED, NORWALK, CT, TREASURER, START 7/1/2009, 1 HOUR PER MONTH, ZERO DURING TRADING, ORGANIZE SOCIAL EVENTS AND PREPARE TREASURERS REPORT. TAY CAPITAL, INV RELATED, BRONXVILLE, NY, 100% OWNERSHIP, START 3/1/2023, 1 HOUR PER MONTH, ZERO HOURS DURING TRADING, FINET PRACTICE. YOUNGLING GP, LLC; INV RELATED; BRONXVILLE, NY; 90% OWNERSHIP; START: 12/13/2024; 2 HOURS A MONTH; 0 HOURS DURING TRADING; MERCHANT AGREEMENT.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1996-03-22 |
| S63 | Uniform Securities Agent State Law Examination | 1984-08-20 |
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