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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 |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2026-04-17 |
| NY | RA | APPROVED | 2021-07-27 |
| FL | RA | APPROVED | 2014-02-13 |
| NJ | RA | APPROVED | 2011-05-02 |
Branch Locations
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 | Utica | NY | 05/2009 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Utica | NY | 11/2016 | Present |
BOY SCOUTS OF AMERICA REVOLUTIONARY TRAILS; INVESTMENT RELATED; UTICA,NY; FINANCE COMMITTEE MEMBER; START DATE 03/05/2014; NUMBER OF HOURS PER MONTH 2-5; NUMBER OF HOURS DURING TRADING 1-2; ACCESSING THE CURRENT INVESTMENT POLICY STATEMENT TO MAKE SURE INVESTMENTS ARE CONSISTENT WITH THE IPS, REVIEWING CURRENT CASH FLOW NEEDS, AND MEETING WITH THE ORGANIZATION'S FINANCIAL ADVISORS AND MONEY MANAGERS.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2011-04-29 |
| S63 | Uniform Securities Agent State Law Examination | 1983-11-05 |
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