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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 |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2024-06-05 |
| NC | RA | APPROVED | 2001-12-31 |
Branch Locations
550 S Tryon St 44Th & 45Th Fls, Charlotte, NC 28202 • United States
Cornelius, NC • United States
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 | Charlotte | NC | 05/2009 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Charlotte | NC | 11/2016 | Present |
EXECUTOR FOR FATHER'S ESTATE; INV. RELATED; CHARLOTTE, NC; START DATE 12/2021; 15 HRS PER MONTH; 1 HR DURING TRADING.; EXECUTOR FOR MOTHER, INV RELATED, CORNELIUS, NC, START: 3/21/2023, 15 HOURS A MONTH, 0 HOURS DURING TRADING. WOMEN'S LEADERSHIP ALLIANCE, NOT INVT RELATED, ST. PETERSBURG, FL, ADVISORY BOARD MEMBER, START DATE 10/6/2023, 0 HRS PER MONTH, 0 HRS DURING TRADING, ATTENDING MEETINGS TO WORK WITH BOARD, ADVISING ON THE BEST WAY TO GROW, SUPPORT AND DEVELOP FEMALE FINANCIAL ADVISORS. STEVEN PATRICK ENGLER IRREVOCABLE TRUST ; INV RELATED; CHARLOTTE , NC; PROTECT MY BROTHERS INHERITANCE ; TRUSTEE/CO-TRUSTEE; START DATE: 12/01/2025; 2 HRS PER MONTH; 0 HRS DURING TRADING;|
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1997-09-08 |
| S63 | Uniform Securities Agent State Law Examination | 1986-10-29 |
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