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One Federal Street 19Th Floor, Boston, MA 02110 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MD | RA | APPROVED | 2022-09-13 |
| VA | RA | APPROVED | 2019-04-23 |
Branch Locations
410 Severn Ave Suite 410, Annapolis, MD 21403 • United States
4 disclosure categories 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 | Washington | DC | 08/2016 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Washington | DC | 11/2016 | 02/2019 |
| Moors & Cabot | Alexandria | VA | 04/2019 | 03/2020 |
| Moors & Cabot | Annapolis | MD | 03/2020 | Present |
TOURING HONG KONG, INV RELATED, DAVIDSONVILLE, MD, 100% OWNERSHIP, START 4/6/2007, 10 HOURS PER MONTH, ZERO DURING TRADING, FEEDING CARING FOR RACE HORSE. FOAL#1 TBD, INV RELATED, DAVIDSONVILLE, MD, 100% OWNERSHIP, START 2/15/2018, 10 HOURS PER MONTH, ZERO DURING TRADING, FEEDING AND CARING FOR RACE HORSE. INTREPID CITIZEN, INV RELATED, DAVIDSONVILLE, MD, 100% OWNERSHIP, START 9/10/2010, 10 HOURS PER MONTH, ZERO DURING TRADING, FEEDING CARING FOR RACE HORSE. BROKEN BRIDLE, INV RELATED, DAVIDSONVILLE, MD, 100% OWNERSHIP, START 9/15/2013, 10 HOURS PER MONTH, ZERO DURING TRADING, FEEDING CARING FOR RACE HORSE. HONG KONG TOUR, INV RELATED, DAVIDSONVILLE, MD, 100% OWNERSHIP, START 3/10/2008, 10 HOURS PER MONTH, ZERO DURING TRADING, FEEDING CARING FOR RACE HORSE. FOAL#2 TBD, INV RELATED, DAVIDSONVILLE, MD, 100% OWNERSHIP, START 2/25/2018, 10 HOURS PER MONTH, ZERO DURING TRADING, FEEDING AND CARING FOR RACE HORSE.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2018-03-13 |
| S63 | Uniform Securities Agent State Law Examination | 1983-02-15 |
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