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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 | 2016-09-26 |
Branch Locations
520 Newport Center Dr Ste 1700, Newport Beach, CA 92660 • United States
Huntington Beach, CA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Bank Of America, Na | Newport Beach | CA | 09/2009 | 09/2016 |
| Wells Fargo Advisors, Llc | Newport Beach | CA | 09/2016 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Newport Beach | CA | 11/2016 | Present |
EBAY HOBBY, NOT INVT RELATED, HUNTINGTON BEACH, CA, 100% OWNERSHIP, START DATE 10/24/2022, 2 HRS PER MONTH, 0 HRS DURING TRADING, SELLING BASEBALL CARD COLLECTION ON WEBSITE.; EXECUTOR FOR SISTER, INV RELATED, HUNTINGTON BEACH, CA, START: 3/14/2023, 1 HOUR A MONTH, 0 HOURS DURING TRADING.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1998-04-06 |
| S63 | Uniform Securities Agent State Law Examination | 1996-09-06 |
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