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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| PA | RA | APPROVED | 2023-10-02 |
Branch Locations
300 State Street Suite 101, Erie, PA 16507-1428 • United States
Erie, PA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | Erie | PA | 05/2009 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Erie | PA | 11/2016 | 10/2023 |
| Rbc Capital Markets, Llc | Erie | PA | 10/2023 | Present |
(1) Name of Entity: 301 - Horse's name Address: Presque Isle Downs 8199 Perry Highway Erie PA 16509 Investment/Not Investment Related : No/ Only if horse wins Business Description: Own a horse. Capacity: Other - Owner - Passive State Date: 06/01/2023 Duties: own a horse. Hours Devoted per month: 2 Hours Devoted during securities hours per month: 2 (2) NAME OF ENTITY: BullsEye Racing ADDRESS: 5971 Wyndemere Drive Suite 101 Erie Pennsylvania 16505-5607 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Other START DATE: Jun 03, 2026 CAPACITY: Sole Proprietor DUTIES: Race horse ownership HOURS DEVOTED PER MONTH: 1 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2005-12-23 |
| S63 | Uniform Securities Agent State Law Examination | 1985-07-31 |
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