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Advisor at WELLS FARGO ADVISORS
ENFIELD, CT | BOSTON, MA
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 | Dec 2, 2025 | n/a | yes | ENFIELD, CT|BOSTON, MA | Current employment |
| UBS FINANCIAL SERVICES INC. | Wirehouse | Dec 5, 2013 | Dec 12, 2025 | no | SPRINGFIELD, MA|Enfield, CT | Previous registration |
| ST. GERMAIN INVESTMENT MANAGEMENT | Independent wealth | Jan 10, 2011 | Nov 29, 2013 | no | SPRINGFIELD, MA | Previous registration |
| ST. GERMAIN INVESTMENT MANAGEMENT | Independent wealth | Oct 26, 2010 | Dec 31, 2010 | no | SPRINGFIELD, MA | Previous registration |
| ST. GERMAIN SECURITIES, INC. | n/a | Sep 16, 2003 | Oct 25, 2010 | no | SPRINGFIELD, MA|SPRINGFIELD, MA|HARTFORD, CT | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| UBS FINANCIAL SERVICES INC. | WELLS FARGO ADVISORS | Dec 12, 2025 | Dec 2, 2025 | -10 | Firm change | Wirehouse to wirehouse |
| ST. GERMAIN INVESTMENT MANAGEMENT | UBS FINANCIAL SERVICES INC. | Nov 29, 2013 | Dec 5, 2013 | 6 | Firm change | Other |
| ST. GERMAIN SECURITIES, INC. | ST. GERMAIN INVESTMENT MANAGEMENT | Oct 25, 2010 | Oct 26, 2010 | 1 | Firm change | Other |