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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 | 2022-11-09 |
| CA | RA | APPROVED | 2007-02-01 |
Branch Locations
770 Tamalpais Dr Ste 220 [Nn-Rbo], Corte Madera, CA 94925 • United States
Menlo Park, CA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | San Francisco | CA | 05/2009 | 11/2016 |
| Wells Fargo Clearing Services, Llc | San Francisco | CA | 11/2016 | Present |
HOOTAN C ROOZROKH MD, NON INV-REL, SALINAS, CA, 0% OWNERSHIP - CHECK SIGNER FOR SPOUSE'S BUSINESS, START: 1/6/12, 0 HRS/MO 0 DURING TRADING. SHE RACES LLC, NOT INV RELATED, MENLO PARK, CA, 100% OWNERSHIP WITH SPOUSE, START 7/1/2022, 10 HOURS PER MONTH, ZERO HOURS DURING TRADING, DESIGNING AND IMPLEMENTING LOW VOLUME RETAIL CLOTHING.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2006-12-19 |
| S66 | Uniform Combined State Law Examination | 2001-06-21 |
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