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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IL | RA | APPROVED | 2025-03-04 |
| TX | RA | APPROVED_RES | 2021-10-30 |
| CA | RA | APPROVED | 2021-10-29 |
Branch Locations
700 Main St, Napa, CA 94559 • United States
Napa, CA • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors, Llc | Fairfield | CA | 04/2015 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Fairfield | CA | 11/2016 | 10/2021 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Napa | CA | 10/2020 | Present |
| Bank Of America, N.A. | Napa | CA | 01/2022 | Present |
CO-TRUSTEE FOR MOTHER'S TRUST, INV RELATED, AURORA, CO, START: 7/29/2021, 2 HR/SMONTH, 0 HRS DURING TRADING.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-08-09 |
| S63 | Uniform Securities Agent State Law Examination | 1989-11-09 |
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