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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2026-08-18 |
Branch Locations
12830 El Camino Real, San Diego, CA 92130 • United States
500 Newport Ctr Dr, Newport Beach, CA 92660 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Bank | San Diego | CA | 01/2007 | 07/2019 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | San Diego | CA | 07/2019 | 12/2023 |
| Wells Fargo Clearing Services Llc | Chula Vista | CA | 11/2016 | 07/2019 |
| Wells Fargo Advisors Llc | Chula Vista | CA | 01/2011 | 11/2016 |
| Bank Of America, Na | San Diego | CA | 07/2019 | 12/2023 |
| U.S. Bancorp Investments, Inc. | San Diego | CA | 09/2025 | 07/2026 |
| Retired | San Diego | CA | 12/2023 | 07/2025 |
| U.S. Bank | San Diego | CA | 07/2025 | 09/2025 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | San Diego | CA | 08/2026 | Present |
I*5248270 Entity Type: N/A Name of OBA: Rental Property - 07-Aug-26 - 1 Address: San Diego, California, 92120 Investment Related: No Position, Title, Association: Co-owner with other family members Employee Start Date: 11/30/2025 Number of Hours: 2, Monthly Number of Hours during trading: 0, Monthly Duties: N/A I*5541268 Entity Type: Entity Charitable Name of OBA: Sharp HealthCare Foundation Address: San Diego, California, 92123 Investment Related: No Position, Title, Association: Board Member Employee Start Date: 10/01/2026 Number of Hours: 1, Monthly Number of Hours during trading: 1, Monthly Duties: Sharp HealthCare Foundation is a nonprofit public benefit corporation that supports the philanthropic mission of Sharp HealthCare. The Foundation raises and stewards charitable contributions to support patient care, medical programs, facilities, technology, community health initiatives, and other charitable activities benefiting Sharp HealthCare and the communities it serves. Foundation Directors serve as community advocates and support fundraising, donor engagement, and philanthropic initiatives. Sharp HealthCare is the sole corporate member of the Foundation. The Foundation Board focuses on governance of Foundation activities and philanthropy-related initiatives and does not oversee or vote on Sharp HealthCare corporate vendor relationships. Volunteer Foundation Director responsible for governance oversight of Foundation activities, participation in board meetings, support of fundraising and donor engagement initiatives, community advocacy, and promotion of the Foundation's charitable mission. Will comply with annual conflict-of-interest requirements and will not participate in corporate banking, investment, or vendor selection decisions
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-03-15 |
| S63 | Uniform Securities Agent State Law Examination | 1997-05-29 |
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