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501 N Broadway, St Louis, MO 63102 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2024-08-29 |
| TX | RA | APPROVED | 2024-08-28 |
Branch Locations
520 Newport Center Drive Suite 1500, Newport Beach, CA 92660 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | Newport Beach | CA | 05/2009 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Newport Beach | CA | 11/2016 | 08/2024 |
| Stifel, Nicolaus & Company, Incorporated | Newport Beach | CA | 08/2024 | Present |
1. CA Notary; 5393 E Ocean Blvd, Apt 3 Long Beach CA 90803; Notary; 08/01/2018; 5 hrs/month; During securities trading hours; Not Investment-Related 2. Quest4550 LLC; 5393 E Ocean Blvd. #3 Long Beach CA 90803; Bartending and catering services; Owner; Bartending and catering; 04/03/2021; 32 hrs/month; Not during securities trading hours; Not Investment-Related 3. Urban Theatre Movement, Inc.; 5393 E. Ocean Blvd Apt 3 Long Beach CA 90803; Theatre company; Treasurer; handle the day to day financials for the theatre company; 02/27/2014; 5 hrs/month; Not during securities trading hours; Not Investment-Related
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2002-08-12 |
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