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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 | 2026-04-02 |
| TX | RA | APPROVED | 2026-04-01 |
Branch Locations
520 Newport Center Dr Ste 1700, Newport Beach, CA 92660 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Bny Mellon Wealth Management | Newport Beach | CA | 08/2008 | 10/2019 |
| Ubs Financial Services, Inc | Newport Beach | CA | 10/2019 | 04/2026 |
| Wells Fargo Clearing Services, Llc | Newport Beach | CA | 04/2026 | Present |
FLORIDA STATE UNIVERSITY; NOT INV RELATED; TALAHASSEE, FL; EDUCATION; ADJUNCT FACULTY; 05/18/2026; 8 HOURS PER MONTH; 0 DURING TRADING; EDUCATIONAL ROUNDTABLE
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2019-10-31 |
| S65 | Uniform Investment Adviser Law Examination | 2001-01-04 |
| S63 | Uniform Securities Agent State Law Examination | 2000-12-13 |
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