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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 |
|---|---|---|---|
| NY | RA | APPROVED | 2021-07-27 |
| LA | RA | APPROVED | 2008-09-19 |
Branch Locations
280 Park Ave 27Th & 29Th Fls, New York, NY 10017 • 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 | New York | NY | 05/2009 | 11/2016 |
| Wells Fargo Clearing Services, Llc | New York | NY | 11/2016 | Present |
BNI, NOT INV RELATED, CHARLOTTE, NC, WELCOMING COMMITTEE MEMBER, START 12/1/20223, 6 HOURS PER MONTH, ZERO HOURS DURING TRADING, WELCOMING GUESTS AND NETWORKING.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1996-02-26 |
| S63 | Uniform Securities Agent State Law Examination | 1988-04-26 |
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