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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 |
|---|---|---|---|
| NC | RA | APPROVED | 2023-06-16 |
| TX | RA | APPROVED | 2023-06-16 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | New Bern | NC | 05/2009 | 11/2016 |
| Wells Fargo Clearing Services, Llc | New Bern | NC | 11/2016 | 06/2023 |
| Wells Fargo Advisors Financial Network, Llc | New Bern | NC | 06/2023 | Present |
LRH DEVELOPMENT, LLC, NOT INVT RELATED, NEW BERN NC, 60% OWNERSHIP, START 6/12/2007, 0 HOURS/MONTH, 0 DURING TRADING, MANAGE FARM LAND/REAL ESTATE. HOG ISLAND LLC, NOT INV RELATED,NEW BERN NC, 14.28% OWNERSHIP, START DATE 3/1/1995, 0 HRS PER MONTH, 0 HRS DURING TRADING, CO-OWNER OF HUNTING CAMP. RENTAL PROPERTY; NON INV RELATED; NEW BERN, NC; 100% OWNERSHIP; START 8/1/2008; 0 HRS PER MONTH 0 DURING TRADING, OWNER OF RENTAL PROPERTY. 10383 LAKE RIDGE, LLC; NOT INV. RELATED; RALEIGH,NC; 5% OWNERSHIP; START DATE 10/19/2022; NUMBER OF HOURS PER MONTH 0; NUMBER OF HOURS DURING TRADING 0; INVESTMENT BUILDING. AIKEN MOSER WEALTH MANAGEMENT GROUP LLC; INV RELATED; NEW BERN, NC; 50% OWNERSHIP; START 06/16/2023; 160 HOURS PER MONTH; 8 HOURS PER MONTH; FINET PRACTICE. RENTAL PROPERTY; INV RELATED; RALEIGH, NC; 0.83% OWNERSHIP; START DATE 5/13/2024; 0 HOURS PER MONTH; 0 DURING TRADING; INVESTMENT BUILDING. HATM HOLDINGS LLC, INV RELATED, NEW BERN, NC, 50% OWNERSHIP, START 10/1/24, 2 HRS PER MONTH, 0 HRS DURING TRADING, FINET PRACTICE;
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2007-09-21 |
| S63 | Uniform Securities Agent State Law Examination | 1984-01-12 |
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