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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 | 2020-05-29 |
| TX | RA | APPROVED_RES | 2020-05-29 |
Branch Locations
500 Silver Spur Rd 3Rd Fl Ste 300, Rolling Hills Estates, CA 90275 • United States
Redondo Beach, CA • United States
3 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Raymond James & Associates, Inc. | Rolling Hills Estates | CA | 01/2008 | 05/2020 |
| Wells Fargo Clearing Services, Llc | Rolling Hills Estates | CA | 05/2020 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1998-01-14 |
| S63 | Uniform Securities Agent State Law Examination | 1997-12-30 |
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