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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 |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2017-06-07 |
| CA | RA | APPROVED | 2009-12-08 |
Branch Locations
350 W Colorado Blvd Ste 390 [Lc-Rbo], Pasadena, CA 91105 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | Pasadena | CA | 12/2009 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Pasadena | CA | 11/2016 | Present |
PASSIVE MUSIC ROYALTY INCOME; NOT INVESTMENT RELATED; ALTADENA, CA; SOLE PROPRIETORSHIP; START DATE 1/1981; 0 HRS PER MONTH; RECEIVE CHECKS FOR DOMESTIC BROADCAST PERFORMANCES; RECORD SALES AND MERCHANDIS SOLE THROUGH THIRD PARTY WEBSITE. THREE O'CLOCK BAND; NON INV RELATED; START: 7/1/14; 1 HR/MO; 0 DURING TRADING; DUTIES: PLAY GUITAR & SING. RENTAL PROPERTY, INV RELATED, ALTADENA, CA, 100% OWNERSHIP, START 6/5/2019, ZERO HOURS PER MONTH, ZERO DURING TRADING, LANDLORD.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1997-04-14 |
| S63 | Uniform Securities Agent State Law Examination | 1997-03-21 |
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