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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 | 2026-05-04 |
| TX | RA | APPROVED_RES | 2026-04-29 |
Branch Locations
2033 N Main Street 9Th Floor [Nk/Nl-Rbo], Walnut Creek, CA 94596 • United States
One North Jefferson Avenue Mail Code: H0004-05G, St. Louis, MO 63103 • UNITED STATES
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Teachers Personal Investors Services, Inc. | San Francisco | CA | 08/2007 | 12/2016 |
| Tiaa | San Francisco | CA | 08/2007 | 12/2016 |
| Nuveen Securities, Llc | Chicago | IL | 01/2017 | 09/2018 |
| Wells Fargo Bank | Palo Alto | CA | 11/2018 | Present |
| Wells Fargo Clearing Services | Palo Alto | CA | 02/2021 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2026-05-02 |
| S66 | Uniform Combined State Law Examination | 2021-05-14 |
| S63 | Uniform Securities Agent State Law Examination | 1999-11-11 |
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