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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 | 2023-05-22 |
Branch Locations
Sacramento, CA • United States
301 University Ave Suite 101, Sacramento, CA 95825 • 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 | Sacramento | CA | 10/2011 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Sacramento | CA | 11/2016 | 05/2023 |
| Wells Fargo Advisors Financial Network, Llc | Sacramento | CA | 05/2023 | Present |
GDE INVESTMENTS, INC; INV. RELATED; SACRAMENTO,CA; 100% OWNERSHIP; START DATE 05/23/2023; NUMBER OF HOURS PER MONTH 0; NUMBER OF HOURS DURING TRADING 0; FINET PRACTICE.; SOLIS & HEARON, LLC, INVT RELATED, SACRAMENTO, CA, 50% OWNERSHIP, START DATE 05/23/2023, 0 HRS PER MONTH, 0 HRS DURING TRADING, TRANSITION TO FINET FOR OFFICE ENTITY.; CO-TRUSTEE FOR SOLIS & HEARON, LLC 401K, SACRAMENTO, CA, START: 5/23/2023, 0 HOURS A MONTH, 0 HOURS DURING TRADING, FINET PRACTICE 401K. ST. MICHAEL'S EPISCOPAL DAY SCHOOL, INVT RELATED, CARMICHAEL, CA, FINANCE COMMITTEE MEMBER, START DATE 11/1/2024, 1 HR PER MONTH, 0 HRS DURING TRADING, ATTENDING MONTHLY MEETING TO MONITOR THE SCHOOLS BUDGET AND FINANCIAL REPORTING.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2006-11-16 |
| S63 | Uniform Securities Agent State Law Examination | 2001-10-11 |
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