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Advisor at WELLS FARGO ADVISORS
DUBUQUE, IA
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 | Jul 20, 2026 | n/a | yes | DUBUQUE, IA | Current employment |
| EMPOWER ADVISORY GROUP, LLC | Bd affiliated wealth | Jul 5, 2022 | Sep 15, 2025 | no | Dubuque, IA|GREENWOOD VILLAGE, CO | Previous registration |
| PRUDENTIAL SELECT STRATEGIES LLC | Institutional manager | May 31, 2019 | Nov 24, 2020 | no | Dubuque, IA | Previous registration |
| GLOBAL PORTFOLIO STRATEGIES, INC. | Former SEC adviser | May 29, 2007 | Dec 31, 2018 | no | DUBUQUE, IA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| EMPOWER ADVISORY GROUP, LLC | WELLS FARGO ADVISORS | Sep 15, 2025 | Jul 20, 2026 | 308 | Firm change | Ibd to wirehouse |
| PRUDENTIAL SELECT STRATEGIES LLC | EMPOWER ADVISORY GROUP, LLC | Nov 24, 2020 | Jul 5, 2022 | 588 | Firm change after gap | RIA to ibd |
| GLOBAL PORTFOLIO STRATEGIES, INC. | PRUDENTIAL SELECT STRATEGIES LLC | Dec 31, 2018 | May 31, 2019 | 151 | Firm change | Other |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 286153:112058:IA:2020-11-24 | Nov 24, 2020 | Jul 5, 2022 | DUBUQUE, IA | Firm change after gap |
| 105812:286153:IA:2018-12-31 | Dec 31, 2018 | May 31, 2019 | DUBUQUE, IA | Firm change |