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Advisor at WELLS FARGO ADVISORS
Minneapolis, MN | ST. LOUIS, MO
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 | Nov 5, 2013 | n/a | yes | Minneapolis, MN|ST. LOUIS, MO | Current employment |
| WELLS FARGO INVESTMENTS, LLC | n/a | Nov 23, 2010 | Jan 3, 2011 | no | MINNEAPOLIS, MN | Previous registration |
| TD AMERITRADE, INC. | Former SEC adviser | Jun 24, 2009 | Feb 17, 2010 | no | Providence, RI | Previous registration |
| TD AMERITRADE INVESTMENT MANAGEMENT, LLC | Former SEC adviser | Jan 22, 2009 | Feb 17, 2010 | no | PROVIDENCE, RI | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| WELLS FARGO INVESTMENTS, LLC | WELLS FARGO ADVISORS | Jan 3, 2011 | Nov 5, 2013 | 1,037 | Bulk transfer | Other |
| TD AMERITRADE INVESTMENT MANAGEMENT, LLC | TD AMERITRADE, INC. | Feb 17, 2010 | Jun 24, 2009 | -238 | Channel change | Other |
| TD AMERITRADE, INC. | WELLS FARGO INVESTMENTS, LLC | Feb 17, 2010 | Nov 23, 2010 | 279 | Firm change | Other |