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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 |
|---|---|---|---|
| NY | RA | APPROVED | 2025-07-10 |
| CT | RA | APPROVED | 2022-11-16 |
Branch Locations
68 S Service Rd Ste 200 [C1-Rbo], Melville, NY 11747 • United States
44 Jerome Ave, Bloomfield, CT 06002 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Santander Bank, N.A. | East Hartford | CT | 11/2003 | 06/2019 |
| Santander Securities, Llc | East Hartford | CT | 09/2017 | 06/2019 |
| Wells Fargo Clearing Services, Llc | Cheshire | CT | 06/2019 | 08/2022 |
| Wells Fargo Bank, N.A. | Cheshire | CT | 06/2019 | 08/2022 |
| Jp Morgan Chase Bank, N.A. | Enfield | CT | 08/2022 | 11/2022 |
| Jp Morgan Securities, Llc | Enfield | CT | 08/2022 | 11/2022 |
| Wells Fargo Clearing Services, Llc | Bloomfield | CT | 11/2022 | Present |
| Wells Fargo Bank, Na | Bloomfield | CT | 11/2022 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2020-01-22 |
| S63 | Uniform Securities Agent State Law Examination | 2017-10-19 |
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