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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 | 2021-08-24 |
| TN | RA | APPROVED | 2019-10-29 |
| TX | RA | APPROVED_RES | 2012-08-10 |
| NJ | RA | APPROVED | 2012-07-31 |
| DE | RA | APPROVED | 2002-06-24 |
Branch Locations
500 Plum St Bridgewater Place, Syracuse, NY 13204 • United States
203 Broyles Dr Ste 200, Johnson City, TN 37601 • 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 | Syracuse | NY | 05/2009 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Syracuse | NY | 11/2016 | Present |
1. POWER OF ATTORNEY FOR SPOUSE (2); INVESTMENT RELATED; MCGRAW, NY; START 1/2011; 6-7 HRS PER MONTH AND DURING TRADING HRS. 2. POWER OF ATTORNEY FOR BROTHER IN LAW, INV RELATED, MARIETTA, NY, START 11/2012, 1 HR OR LESS PER MONTH DURING TRADING. 3.POWER OF ATTORNEY FOR SISTER IN LAW, INV RELATED, MARIETTA, NY, START 11/2012, 1 HR OR LESS PER MONTH DURING TRADING. 4.POWER OF ATTORNEY FOR SISTER, INV RELATED, MARIETTA, NY, START 2/2012, 1 HR PER MONTH DURING TRADING. 5. POWER OF ATTORNEY FOR SON; INVESTMENT RELATED; MCGRAW, NY; START 8/2011; 3-4 HRS PER MONTH AND DURING TRADING HRS. 6. POWER OF ATTORNEY FOR SON (1); INVESTMENT RELATED; SYRACUSE, NY; START 2/2017; 4 HRS PER MONTH; 4 HRS DURING TRADING HRS.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-12-06 |
| S63 | Uniform Securities Agent State Law Examination | 1984-11-07 |
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