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6565 Main Street, Williamsville, NY 14221 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2021-06-30 |
| NY | RA | APPROVED | 2021-05-17 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | Buffalo | NY | 05/2009 | 05/2021 |
| Northcape Wealth Management | Williamsville | NY | 05/2021 | Present |
FINRA Dispute Resolution | Yes, investment-related | FINRA, 1 Liberty Place, NEW YORK, NY 10281 | Participates in initial pre-hearing conference calls, reviews submission documents, sets up dates for discovery and trials, listens to claimants' and defendants' oral arguments, reviews documents entered into evidence, and renders decisions | Industry representative of a 3 person panel (normally attorneys) | Began in 1995 | 2 to 4 hours per month
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2016-02-23 |
| S63 | Uniform Securities Agent State Law Examination | 1984-02-03 |
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