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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 | 2018-08-07 |
| HI | RA | APPROVED | 2012-06-15 |
| AZ | RA | APPROVED | 2012-02-07 |
Branch Locations
Kealakekua, HI • United States
18700 N Hayden Rd Ste 525, Scottsdale, AZ 85255 • United States
Paradise Valley, AZ • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors | Scottsdale | AZ | 01/2012 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Scottsdale | AZ | 11/2016 | Present |
PLUM NELLY LLC DBA THE LOOK; NOT INVESTMENT RELATED; SCOTTSDALE, AZ; OWNER; RETAIL SALES; START 4/1/ 2010; 40 HRS PER MONTH; 0 HRS DURING TRADING. EWING DEREUS LLC; NOT INV RELATED; CONSTRUCTION; 100% OWNERSHIP BY SPOUSE; START 3/1/2016; 1 HOUR PER MONTH, 0 DURING TRADING; FINANCIAL OVERSIGHT. EWING DEREUS LLC; NOT INV RELATED; CONSTRUCTION; 100% OWNERSHIP WITH SPOUSE; MANAGING MEMBER, START 7/1/2016; 1 HOUR PER MONTH, 0 DURING TRADING; FINANCIAL OVERSIGHT. HOKULIA INVESTORS LLC, INV RELATED, KAILUA KONA, HI, 100% OWNERSHIP WITH SPOUSE, START 12/7/2020, ZERO HOURS PER MONTH, ZERO DURING TRADING, DEVELOP REAL ESTATE.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2012-05-18 |
| S63 | Uniform Securities Agent State Law Examination | 1986-11-25 |
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