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Current Employers
Wells Fargo Advisors Financial Network, Llc

One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States

Current Registrations

AuthorityCategoryStatusDate
CT RA APPROVED 2018-07-19
TX RA APPROVED_RES 2018-07-14
  • CT RA
    APPROVED
    Since 2018-07-19
  • TX RA
    APPROVED_RES
    Since 2018-07-14

Branch Locations

55 Nod Rd, Avon, CT 06001 • United States

Disclosures

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.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
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
Previous Registrations
  • 2003-07-01 → 2018-07-13
    Hartford, CT
    Hartford, CT
    West Hartford, CT
  • 1999-09-08 → 2003-07-01
    Prudential Equity Group, Llc
    Hartford, CT
Other Businesses

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.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-06-01
S63 Uniform Securities Agent State Law Examination 1999-05-14
  • S65 Uniform Investment Adviser Law Examination
    1999-06-01
  • S63 Uniform Securities Agent State Law Examination
    1999-05-14

View on SEC IAPD

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