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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 | 2021-01-11 |
| CA | RA | APPROVED | 2015-05-21 |
Branch Locations
1551 N Tustin Ave Ste 100, Santa Ana, CA 92705 • United States
Santa Ana, CA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors Financial Network, Llc | Orange | CA | 05/2015 | Present |
HLMT GROUP LLC, INV RELATED, ASNTA ANA, CA, 25% OWNERSHIP, START 4/1/2015, ZERO HOURS PER MONTH, ZERO DURING TRADING, FINET PRACTICE.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1998-04-28 |
| S63 | Uniform Securities Agent State Law Examination | 1997-10-31 |
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