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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 |
|---|---|---|---|
| OH | RA | APPROVED | 2025-06-20 |
| TX | RA | APPROVED | 2025-06-20 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | Lima | OH | 05/2009 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Lima | OH | 11/2016 | 06/2025 |
| Wells Fargo Advisors Financial Network, Llc | Lima | OH | 06/2025 | Present |
TRUSTEE FOR FATHER'S TRUST; INVESTMENT RELATED; LIMA, OH; START DATE 3/26/10; 1 HR MONTH DURING TRADING. | BRIAN BATES ENTERPRISES LLC;INV RELATED; LIMA, OH; SECURITY INVESTMENTS;100% OWNERSHIP; START DATE: 06/23/2025; 160 HRS PER MONTH; 0 HRS DURING TRADING;| EXCELSIOR WEALTH MANAGEMENT, LLC ; INV RELATED; LIMA, OH; INVESTMENT MANAGEMENT FOR CLIENTS;25% OWNERSHIP; START DATE: 07/01/2025; 160 HRS PER MONTH; 160 HRS DURING TRADING; |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2012-04-12 |
| S63 | Uniform Securities Agent State Law Examination | 1985-03-22 |
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