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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 | 2011-01-03 |
Branch Locations
770 Tamalpais Dr Ste 220 [Nn-Rbo], Corte Madera, CA 94925 • United States
101 Federal Pl Ste 101 [Regional Supervision], Tarpon Springs, FL 34689 • United States
San Rafael, CA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | Corte Madera | CA | 01/2011 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Corte Madera | CA | 11/2016 | Present |
RICHARD AND DIANE BLOCK FOUNDATION; INV. RELATED; ANCHORAGE,AK; INVESTMENT COMMITTEE MEMBER; START DATE 04/15/2022; NUMBER OF HOURS PER MONTH 2; NUMBER OF HOURS DURING TRADING 0; ATTENDING MEETINGS TO DRAFT AND APPROVE THE INVESTMENT POLICY STATEMENT WHICH INCLUDES APPROPRIATE RANGES FOR ASSET ALLOCATION AND REVIEW THE INVESTMENT STATEMENTS TO MAKE SURE THEY ALIGN WITH THE IPS.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-08-13 |
| S63 | Uniform Securities Agent State Law Examination | 1997-11-03 |
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