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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 |
|---|---|---|---|
| NY | RA | APPROVED | 2021-07-27 |
| TX | RA | APPROVED_RES | 2009-10-12 |
| CA | RA | APPROVED | 2008-01-01 |
Branch Locations
12531 High Bluff Dr Ste 400, San Diego, CA 92130 • United States
Old Forge, NY • 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 | San Diego | CA | 05/2009 | 11/2016 |
| Wells Fargo Clearing Services, Llc | San Diego | CA | 11/2016 | Present |
RENTAL PROPERTY, INVT RELATED, OLD FORGE, NY, 100% OWNER, START 5/1/2019, 1 HR PER MONTH, 0 HRS DURING TRADING. MARFAM THOUROUGHBREDS, INV RELATED, SAN DIEGO, CA, 100% OWNERSHIP, START 6/1/2020, 10 HOURS PER MONTH, ZERO DURING TRADING, MANAGING HORSE BREEDING TRAINING AND RACING BUSINESS. POWER OF ATTORNEY FOR MOTHER; INV RELATED; SAN DIEGO,CA; MANAGING ACCOUNTS ; POA; START DATE: 12/05/2025; 2 HRS PER MONTH; 0 HRS DURING TRADING;|
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2009-11-16 |
| S63 | Uniform Securities Agent State Law Examination | 1996-07-29 |
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