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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 | 2015-02-06 |
| CA | RA | APPROVED | 2013-03-28 |
Branch Locations
1999 Avenue Of The Stars Ste 2200, Los Angeles, CA 90067 • United States
1 disclosure category 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 |
|---|---|---|---|---|
| Wells Fargo Advisors | Century City | CA | 03/2013 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Century City | CA | 11/2016 | Present |
7% OWNERSHIP OF MFF INVESTMENTS, INVESTMENT RELATED, REAL ESTATE, LOS ANGELES CA, 3 HOURS PER MONTH, START 4/26/2013 REAL ESTATE LICENSE (INACTIVE) - INVESTMENT RELATED. STATE OF CALIFORNIA. START 6/1/1994. 0 HRS PER MONTH. NO DUTIES. INDEPENDENCE YACHT COMPANY - NOT INVESTMENT RELATED. SCOTTSDALE, AZ. CO-OWNER. START 9/15/2013. 4 HRS PER MONTH / 0 DURING TRADING. NO DUTIES. SCHWARTZ INVESTMENT COMPANY LLC, INV RELATED, LOS ANGELES, CA, START 1/1974, 2 HOURS PER MONTH/0 DURING TRADING, DUTIES: ASSIST FAMILY WITH REAL ESTATE RENTAL PROPERTY, INV RELATED, BIG BEAR LAKE, CA, 50% OWNERSHIP, START 5/1/2019, 5 HOURS PER MONTH, 1 HOUR DURING TRADING, OVERSEE RENTAL MANAGEMENT COMPANY. BEVERLY HILLS UNIFIED SCHOOL DISTRICT, INVT RELATED, BEVERLY HILLS, CA, FINANCE COMMITTEE MEMBER, START 6/1/2021, 5 HRS PER MONTH, 0 HRS DURING TRADING, DISCUSS BUDGETING, SCHOOL REVENUES AND LIABILITIES BOTH LONG AND SHORT TERM. FINE ROCK PROPERTIES LLC, INV RELATED, BIG BEAR LAKE, CA, 100% OWNERSHIP, START 4/1/2022, 1 HOUR PER MONTH, ZERO HOURS DURING TRADING, HOLDS REAL ESTATE. THE HF RETIREMENT GROUP. INC. ; INV RELATED;LOS ANGELES,CA; S-COR;100% OWNERSHIP; START DATE: 10/05/2026; 5 HRS PER MONTH; 0 HRS DURING TRADING;
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2003-11-24 |
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