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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 | 2024-04-03 |
Branch Locations
5000 Santa Rosa Rd, Camarillo, CA 93012 • United States
1160 Marsh St, Stes 200 & 300 [Lm*/Le-Rbo], San Luis Obispo, CA 93401 • United States
2 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 |
|---|---|---|---|---|
| Jp Morgan Securities Llc | Los Angeles | CA | 02/2016 | 04/2024 |
| Jpmorgan Chase Bank, N.A. | Los Angeles | CA | 02/2016 | 04/2024 |
| Wells Fargo Clearing Services, Llc | San Luis Obispo | CA | 04/2024 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2011-08-25 |
| S63 | Uniform Securities Agent State Law Examination | 2006-06-01 |
| S65 | Uniform Investment Adviser Law Examination | 2001-01-12 |
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