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880 Carillon Parkway, St. Petersburg, FL 33716 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2018-05-16 |
| WI | RA | APPROVED | 2018-04-06 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | Racine | WI | 05/2009 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Racine | WI | 11/2016 | 04/2018 |
| Raymond James & Associates, Inc. | Racine | WI | 04/2018 | Present |
(1)Name of Business: Saint John Nepomuk Parish Address: 1903 Green Street, Racine, WI, 53402, United States Activity Type: Religious Position/Title: Officer - Treasurer Investment Related: Yes Start Date: 05/01/2015 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 0-1 Description of duties: I am a Trustee, treasurer and member of the finance council. We as a council approve expenses and buildings and grounds projects. I am a check signer as well. (2)Name of Business: St. Monica's Senior Living Address: 3920 N Green Bay Rd, Racine, WI, 53404, United States Activity Type: Non profit Position/Title: Committee Member Investment Related: Yes Start Date: 05/15/2023 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 0-1 Description of duties: The principal obligation in serving on the Finance Committee is to attend meetings of the committee which are held on the afternoon of the second Monday of each month in which there is a Board meeting. These months are January, March, May, July, September, and November. There are also ad hoc sub-groups of the committee for specific purposes, such as to review proposed updates in pricing structure.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2009-12-22 |
| S63 | Uniform Securities Agent State Law Examination | 1998-10-21 |
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