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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 | 2023-09-07 |
| TX | RA | APPROVED | 2023-09-07 |
Branch Locations
500 Silver Spur 105, Rolling Hills Estates, CA 90275 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Torrance | CA | 10/2009 | 02/2017 |
| Wells Fargo Clearing Services, Llc | Palos Verdes | CA | 02/2017 | 09/2023 |
| Wells Fargo Advisors Financial Network, Llc | Rolling Hills Estates | CA | 09/2023 | Present |
COMPASS WEALTH MANAGEMENT LLC; INV RELATED; ROLLING HILLS ESTATES, CA; 50% OWNERSHIP; START 07/17/2023; 200 HOURS PER MONTH; 6 HOURS DURING TRADING; FINET PRACTICE. TRUSTEE FOR COMPASS WEALTH MANAGMENT, LLC 401K, INV RELATED, ROLLING HILLS ESTATES, CA, START: 10/01/2023, 2 HOURS A MONTH, 0 HOURS DURING TRADING, FINET PRACTICE 401K.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2002-08-30 |
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