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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
NY RA APPROVED 2021-07-27
TX RA APPROVED_RES 2016-02-22
FL RA APPROVED 2009-03-23
  • NY RA
    APPROVED
    Since 2021-07-27
  • TX RA
    APPROVED_RES
    Since 2016-02-22
  • FL RA
    APPROVED
    Since 2009-03-23

Branch Locations

534 Delaware Avenue The Becker Mansion Ste 105, Buffalo, NY 14202 • United States

Disclosures

2 disclosure categories 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 Yes
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Wells Fargo Advisors Financial Network, Llc Buffalo NY 02/2009 Present
Previous Registrations
Other Businesses

PKK WEALTH MANAGEMENT,LLC, INVT RELATED, BUFFALO, NY, 90% OWNERSHIP, START DATE 2/19/2009, 160 HRS PER MONTH, 8 HRS DURING TRADING, FINET PRACTICE

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1992-12-17
S63 Uniform Securities Agent State Law Examination 1986-06-04
  • S65 Uniform Investment Adviser Law Examination
    1992-12-17
  • S63 Uniform Securities Agent State Law Examination
    1986-06-04

View on SEC IAPD

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