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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 |
|---|---|---|---|
| CO | RA | APPROVED | 2019-10-31 |
| TX | RA | APPROVED | 2019-10-31 |
Branch Locations
141 Union Blvd Ste C 305, Lakewood, CO 80228 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | Evergreen | CO | 05/2009 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Evergreen | CO | 11/2016 | 10/2019 |
| Wells Fargo Advisors Financial Network, Llc | Evergreen | CO | 10/2019 | Present |
POWER OF ATTORNEY FOR SISTER, INV RELATED, EVERGREEN, CO, START 2/12/2019, 4 HRS/MONTH, 4 HRS DURING TRADING.; TRUSTEE FOR SISTER'S TRUST, INV RELATED, EVERGREEN, CO, START 2/26/2019, 2 HRS/MONTH, 1 HR DURING TRADING.; EXECUTOR FOR MOTHER'S ESTATE, INV RELATED, EVERGREEN, CO, START 4/11/2019, LESS THAN 1 HR/MONTH, 0 HRS DURING TRADING. C.L. ALLEN WEALTH MANAGEMENT LLC, INV RELATED, EVERGREEN, CO, 75% OWNERSHIP, START 2/12/2019, 4 HRS/MONTH, 0 HRS DURING TRADING, FINET PRACTICE LLC.; TRUSTEE FOR C.L. ALLEN WEALTH MANAGEMENT 401K, INV RELATED, EVERGREEN, CO, START 12/1/2019, 2 HRS/MONTH, LESS THAN 1 HR DURING TRADING, FINET PRACTICE 401K. HIGHLANDS WEALTH MANAGEMENT GROUP LLC, INV RELATED, EVERGREEN, CO, 75% OWNERSHIP, START 3/1/2022, 4 HOURS PER MONTH, ZERO HOURS DURING TRADING, FINET PRACTICE.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1997-08-12 |
| S63 | Uniform Securities Agent State Law Examination | 1983-02-22 |
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