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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 |
|---|---|---|---|
| CT | RA | APPROVED | 2018-07-19 |
| TX | RA | APPROVED_RES | 2018-07-14 |
Branch Locations
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 Advisors Llc | Hartford | CT | 05/2009 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Hartford | CT | 11/2016 | 07/2018 |
| Wells Fargo Advisors Financial Network, Llc | Avon | CT | 07/2018 | Present |
TOWERMARK WEALTH MANAGEMENT LLC, INV RELATED, WEST HARTFORD, CT, 33.33% OWNERSHIP, START 2/13/2018, 160 HOURS PER MONTH, 6.5 HOURS DURING TRADING, FINET BUSINESS. KNB LIMITED; INV RELATED; BURLINGTON, CT; 100% OWNERSHIP; START 7/13/2018; 160 HOURS PER MONTH; 160 HOURS DURING TRADING; PASS THROUGH FOR FINET PRACTICE.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-06-01 |
| S63 | Uniform Securities Agent State Law Examination | 1999-05-14 |
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