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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 |
|---|---|---|---|
| CA | RA | APPROVED | 2026-03-12 |
Branch Locations
620 Newport Center Dr. Suite 460, Newport Beach, CA 92660 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Newport Beach | CA | 10/2009 | 04/2021 |
| Ubs Financial Services Inc. | Newport Beach | CA | 05/2021 | 03/2026 |
| Wells Fargo Advisors Financial Network, Llc | Newport Beach | CA | 03/2026 | Present |
1) I*72054/ For profit or not for profit: For-Profit Organization/Name of outside business organization: MK Products/ Investment related: no/ Address of business: Irvine, California 92606/ Nature of business: manufacture and sale of welding supplies,/ Position, title, association: Advisory Board Member, / Start date of relationship: 5/28/2020 Number of hours devoted: 2 hour(s) Monthly/ Number of hours devoted during trading hours: 0/ Duties: Meet with board members as determined by shareholders to discuss and review/approve company related decisions requiring board approval.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2013-12-18 |
| S63 | Uniform Securities Agent State Law Examination | 1994-03-04 |
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