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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 |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2016-11-10 |
| CA | RA | APPROVED | 2003-07-01 |
Branch Locations
1999 Avenue Of The Stars Ste 2200, Los Angeles, CA 90067 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | Los Angeles | CA | 05/2009 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Los Angeles | CA | 11/2016 | Present |
KATHLEEN ROTH EXEMPTION TRUST; INV RELATED; LOS ANGELES, CA; C0-TRUSTEE; START DATE 02/10/2025; 2 HOUR PER MONTH; 0 HOURS DURING TRADING| KATHLEEN ROTH TRUST; INV RELATED; LOS ANGELES, CA; C0-TRUSTEE; START DATE 02/10/2025; 3 HOUR PER MONTH; 0 HOURS DURING TRADING
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1989-04-20 |
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