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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 |
|---|---|---|---|
| NM | RA | APPROVED | 2004-10-28 |
Branch Locations
6501 Americas Pkwy Ne Ste 1000, Albuquerque, NM 87110 • United States
Albuquerque, NM • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | Albuquerque | NM | 05/2009 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Albuquerque | NM | 11/2016 | Present |
GRIFFIN MINERALS LLC, FAMILY LLC SET UP FOR INVESTMENTS, 20% OWNERSHIP, INVESTMENT RELATED, LAGRANGE GA, CURRENTLY NO HOURS DEVOTED, START 07/19/2007 .; TRUSTEE FOR SON, INV RELATED, ALBUQUERQUE, NM, START: 9/20/2021, 1 HR/MONTH, 1 HR DURING TRADING.; CO-TRUSTEE FOR FATHER'S TRUST, INV RELATED, LA GRANGE, GA, START: 9/16/2022, 1 HR/MONTH, 1 HR DURING TRADING. POWER OF ATTORNEY AND GUARDIAN FOR SON; INV RELATED; ALBUQUERQUE,NM; GUARDIAN/CO-GUARDIAN; START DATE: 12/01/2025; 80 HRS PER MONTH; 0 HRS DURING TRADING; | ALIANZA FAMILY SERVICES; NOT INV RELATED; ALBUQUERQUE,NM; SERVICES TO DISABLED ; EMPLOYEE; START DATE: 12/01/2025; 15 HRS PER MONTH; 0 HRS DURING TRADING; |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2004-09-01 |
| S63 | Uniform Securities Agent State Law Examination | 1984-02-07 |
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