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85 Broad Street 22Nd Floor, New York, NY 10004 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NJ | RA | APPROVED | 2019-01-31 |
Branch Locations
2 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 | Middlesex | NJ | 05/2009 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Middlesex | NJ | 11/2016 | 01/2019 |
| Oppenheimer & Co. Inc. | Red Bank | NJ | 01/2019 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2004-04-17 |
| S63 | Uniform Securities Agent State Law Examination | 1984-05-11 |
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