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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 |
|---|---|---|---|
| NC | RA | APPROVED | 2019-03-11 |
Branch Locations
550 S Tryon St 44Th & 45Th Fls, Charlotte, NC 28202 • United States
16700 Statesville Rd, Huntersville, NC 28078 • 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 |
|---|---|---|---|---|
| Santander Bank Na | Boston | MA | 01/2016 | 09/2017 |
| Santander Securities Llc | Dorchester | MA | 05/2017 | 09/2017 |
| Wells Fargo Bank, Na | Charlotte | NC | 12/2018 | Present |
| Wells Fargo Clearing Service, Llc | Charlotte | NC | 12/2018 | Present |
| Unemployed | Salisbury | NC | 10/2017 | 12/2018 |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2019-03-09 |
| S63 | Uniform Securities Agent State Law Examination | 2017-07-07 |
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