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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 |
|---|---|---|---|
| NY | RA | APPROVED | 2021-07-27 |
| SC | RA | APPROVED | 2021-05-04 |
| TX | RA | APPROVED_RES | 2004-03-23 |
| OK | RA | APPROVED | 2003-07-01 |
Branch Locations
2500 Westchester Ave Stes 201 & 203, Purchase, NY 10577 • United States
Amagansett, NY • United States
Kiawah, SC • United States
Purchase, NY • United States
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 | White Plains | NY | 05/2009 | 11/2016 |
| Wells Fargo Clearing Services, Llc | White Plains | NY | 11/2016 | Present |
TRUSTEE FOR DAUGHTER'S TRUST; INVESTMENT RELATED; PURCHASE NY; BEGAN 7/27/1988, 1 HR/MTH. TRUSTEE FOR SON'S TRUST; INVESTMENT RELATED; PURCHASE NY; START 3/5/2010. 25 SCOTT CIRCLE, LLC; NOT INV. RELATED; PURCHASE,NY; 51% OWNERSHIP; START DATE 10/01/2021; NUMBER OF HOURS PER MONTH 0; NUMBER OF HOURS DURING TRADING 0; REAL ESTATE INVESTMENT. RENTAL PROPERTY; INV. RELATED; PURCHASE,NY; 51% OWNERSHIP; START DATE 10/01/2021; NUMBER OF HOURS PER MONTH 2; NUMBER OF HOURS DURING TRADING 0; OWNER.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1994-04-27 |
| S63 | Uniform Securities Agent State Law Examination | 1984-02-28 |
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