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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 | 2017-11-02 |
| TX | RA | APPROVED | 2017-11-01 |
Branch Locations
270 E Main St. [Satellite], Los Gatos, CA 95030 • United States
1091 Lincoln Ave, San Jose, CA 95125 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Morgan Stanley Smith Barney | Palo Alto | CA | 06/2009 | 11/2017 |
| Morgan Stanley Private Bank, National Association | New York | NY | 01/2015 | 11/2017 |
| Wells Fargo Advisors Financial Network, Llc | Los Gatos | CA | 11/2017 | 10/2019 |
| Wells Fargo Advisors Financial Network, Llc | Los Gatos | CA | 10/2019 | 09/2020 |
| Wells Fargo Advisors Financial Network, Llc | San Jose | CA | 09/2020 | Present |
TESTA CAPITAL INC, INVT RELATED, SAN JOSE, CA, 100% OWNERSHIP, START DATE 9/17/2019, 160 HRS PER MONTH, 120 HRS DURING TRADING, FOR FINET PRACTICE.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1997-11-28 |
| S63 | Uniform Securities Agent State Law Examination | 1997-11-21 |
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