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777 E. Wisconsin Avenue, Milwaukee, WI 53202-5391 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| SC | RA | APPROVED | 2018-09-28 |
Branch Locations
25 Calhoun Street Suite 200, Charleston, SC 29401 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | Charleston | SC | 05/2009 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Charleston | SC | 11/2016 | 09/2018 |
| Robert W Baird & Co., Incorporated | Charleston | SC | 09/2018 | Present |
Name: Celius Dougherty Music Archive 111 Broad St Charleston, SC 29401 Type: Private Company- Archive of music- not investment related Role: Owner Start: 6/2001 Hours: 2 hours/month, zero during market hours Responsibilities: I own the copyrights to the music of my great-uncle, promote usage of it and collect royalties on it. Name: The Society for the Preservation of Spirituals 111 Broad St Charleston SC 29041 Type: Self- Collection, Performance and Distribution of folk songs. Non-investment Role: Board member, Officer, Treasurer Start: 5/2016 Hours: 2 hours/month, 0 during market hours Responsibilities: Collection of dues and proceeds from CD and book sales. Payment of Society expenses. Name: Dartmouth Club of the Lowcountry, Inc 111 Broad St Charleston, SC 29401 Type: College alumni association; non-investment Role: Officer, Treasurer Start: 10/2016 Hours: 2 hours/month, 0 during market hours Responsibilities: Collection of dues and payment of club expenses
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1991-05-22 |
| S63 | Uniform Securities Agent State Law Examination | 1985-09-25 |
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