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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 |
|---|---|---|---|
| NM | RA | APPROVED | 2021-10-01 |
Branch Locations
400 N Pennsylvania Ave Ste 210, Roswell, NM 88201 • 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 Bank, Na | Roswell | NM | 02/2013 | 02/2017 |
| Wells Fargo Clearing Services, Llc | Roswell | NM | 02/2017 | 07/2021 |
| Wells Fargo Advisors Financial Network, Llc | Roswell | NM | 09/2021 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2019-09-04 |
| S63 | Uniform Securities Agent State Law Examination | 2017-07-07 |
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