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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 |
|---|---|---|---|
| KY | RA | APPROVED | 2024-06-21 |
| TX | RA | APPROVED_RES | 2003-11-10 |
| OH | RA | APPROVED | 2003-07-01 |
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 | Cincinnati | OH | 05/2009 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Cincinnati | OH | 11/2016 | Present |
RENTAL PROPERTY, INV RELATED, PARK HILLS, KY, 100% OWNER, START 6/2009, 0 DURING TRADING, DUTIES: LANDLORD. COVINGTON ECONOMIC DEVELOPMENT AUTHORITY; NOT INV. RELATED; COVINGTON, KY; BOARD MEMBER; START 7/2/2023; 1 HR PER MONTH; 1 HR DURING TRADING; REVIEW STATUS OF FUNDING FOR FUTURE AND CURRENT PROJECTS IN COVINGTON'S TIF DISTRICT AND MAKE RECOMMENDATIONS TO THE CITY COMMISSION. MARTHA AND NATE'S, LLC, INVT RELATED, PARK HILLS, KY, 100% OWNERSHIP, START DATE 2/17/2022, 0 HRS PER MONTH AND DURING TRADING, LLC FOR RENTAL PROPERTY, COLLECT RENT, PAY PROPERTY TAXES AND INSURANCE. | CITY OF COVINGTON COMMITTEE OF FORM OF GOVERNMENT TRANSITION; NOT INV. RELATED; COVINGTON, KY; COMMITTEE MEMBER; START 01/2025; 1 HR PER MONTH; NO HOURS DURING TRADING; COMMITTEE OF CITY OFFICIALS, EMPLOYEES, AND CITIZENS TO GUIDE THE CITY OF COVINGTON
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-05-12 |
| S63 | Uniform Securities Agent State Law Examination | 1985-10-29 |
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