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270 Park Avenue, New York, NY 10017 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2024-07-03 |
| TX | RA | APPROVED | 2024-07-03 |
Branch Locations
36101 Bob Hope Drive, Ste G-1, Rancho Mirage, CA 92270 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Bank, Na | La Quinta | CA | 09/2016 | 06/2024 |
| Wells Fargo Clearing Services, Llc | La Quinta | CA | 09/2016 | 06/2024 |
| J.P. Morgan Securities Llc | Rancho Mirage | CA | 07/2024 | Present |
| Jpmorgan Chase Bank, N.A. | Rancho Mirage | CA | 07/2024 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2021-09-04 |
| S63 | Uniform Securities Agent State Law Examination | 2003-03-11 |
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