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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_RES | 2017-12-04 |
| CA | RA | APPROVED | 2017-12-01 |
Branch Locations
5 Park Plz 19Th & 20Th Fls, Irvine, CA 92614 • United States
Cupertino, CA • 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 |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Mountain View | CA | 10/2009 | 12/2017 |
| Wells Fargo Clearing Services, Llc | San Jose | CA | 12/2017 | Present |
RENTAL PROPERTY, INV RELATED, SAN JOSE, CA, 100% OWNER, START 12/11/2011, 0 HOURS, NO DUTIES.| RENTAL PROPERTY, INV RELATED, SAN JOSE, CA. 100% OWNERSHIP, START 1/10/2016, 0 HOURS/MONTH, 0 DURING TRADING, LANDLORD.| RENTAL PROPERTY, INV RELATED, CUPTERTINO, CA, 100% OWNERSHIP, START 1/02/2025, 1 HR/MONTH, 0 HRS DURING TRADING.| RENTAL PROPERTY, INV RELTED, TAHOE VISTA, CA, 100% OWNERSHIP, START: 4/1/24, 0 HRS/MONTH, 0 HRS DURING TRADING;| RENTAL PROPERTY, INV RELATED, SAN JOSE, CA, 100% OWNERSHIP, START 8/1/24,1 HR PER MONTH, 0 HRS DURING TRADING;|
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2004-09-01 |
| S63 | Uniform Securities Agent State Law Examination | 2004-03-24 |
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