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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 |
|---|---|---|---|
| NJ | RA | APPROVED | 2023-09-15 |
| TX | RA | APPROVED | 2023-09-15 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | Short Hills | NJ | 05/2009 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Short Hills | NJ | 11/2016 | 09/2023 |
| Wells Fargo Advisors Financial Network, Llc | Chatham | NJ | 09/2023 | Present |
RJM INVESTMENT MANAGEMENT AND PLANNING LLC, INV RELATED, BOONTON, NJ, START DATE: 9/18/23, 160 HRS PER MONTH, 0 HRS DURING TRADING, TRANSITION TO FINET;
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2003-01-27 |
| S63 | Uniform Securities Agent State Law Examination | 1984-10-08 |
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