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Advisor at WELLS FARGO ADVISORS
RICHMOND, VA
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.
| Firm | Class | Began | Ended | Current | Branch | Basis |
|---|---|---|---|---|---|---|
| WELLS FARGO ADVISORS | Wirehouse | Aug 2, 2018 | n/a | yes | RICHMOND, VA|RICHMOND, VA | Current employment |
| U.S. BANCORP INVESTMENTS, INC. | Former SEC adviser | Feb 22, 2011 | Mar 9, 2018 | no | Davenport, IA|Moline, IL|Muscatine, IA|Rock Island, IL|Rock Island, IL|Saint Peters, MO | Previous registration |
| WELLS FARGO ADVISORS | Wirehouse | Jan 3, 2011 | Feb 28, 2011 | no | GALESBURG, IL|MONMOUTH, IL | Previous registration |
| WELLS FARGO INVESTMENTS, LLC | n/a | Oct 17, 2007 | Jan 3, 2011 | no | MONMOUTH, IL|GALESBURG, IL | Previous registration |
| M.R. SPENCER ADVISORY SERVICES, LLC | Former SEC adviser | Sep 20, 2005 | Sep 11, 2008 | no | GALESBURG, IL | Previous registration |
| H. BECK, INC. | Former SEC adviser | Jan 3, 2003 | Dec 31, 2005 | no | GALESBURG, IL|GALESBURG, IL | Previous registration |
| FFP ADVISORY SERVICES INC | n/a | Sep 4, 1998 | Dec 31, 2002 | no | GALESBURG, IL | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| U.S. BANCORP INVESTMENTS, INC. | WELLS FARGO ADVISORS | Mar 9, 2018 | Aug 2, 2018 | 146 | Firm change | Other |
| WELLS FARGO ADVISORS | U.S. BANCORP INVESTMENTS, INC. | Feb 28, 2011 | Feb 22, 2011 | -6 | Firm change | Other |
| WELLS FARGO INVESTMENTS, LLC | WELLS FARGO ADVISORS | Jan 3, 2011 | Jan 3, 2011 | 0 | Bulk transfer | Other |
| M.R. SPENCER ADVISORY SERVICES, LLC | WELLS FARGO INVESTMENTS, LLC | Sep 11, 2008 | Oct 17, 2007 | -330 | Firm change after gap | Other |
| H. BECK, INC. | M.R. SPENCER ADVISORY SERVICES, LLC | Dec 31, 2005 | Sep 20, 2005 | -102 | Firm change after gap | Other |
| FFP ADVISORY SERVICES INC | H. BECK, INC. | Dec 31, 2002 | Jan 3, 2003 | 3 | Firm change | Other |