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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2025-10-09 |
| TX | RA | APPROVED | 2025-10-09 |
Branch Locations
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 Bank, Na | Santa Clara | CA | 04/2010 | 11/2016 |
| Wells Fargo Advisors Llc | Santa Clara | CA | 01/2011 | 11/2016 |
| Bank Of America, N.A | San Jose | CA | 05/2026 | Present |
| Wells Fargo Clearing Services, Llc | Santa Clara | CA | 11/2016 | 10/2025 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | San Jose | CA | 10/2025 | Present |
I*3143264 Entity Type: Rental Property Name of OBA: Rental Property 1 Address: BAKERSFIELD, California, 93309 Investment Related: No Position, Title, Association: Co-owner with other family members Employee Start Date: 08/23/2022 Number of Hours: 8, Yearly Number of Hours during trading: 0 Duties: Co owner of rental property I*3142265 Entity Type: Rental Property Name of OBA: Rental Property 2 Address: BAKERSFIELD, California, 93309 Investment Related: No Position, Title, Association: Co-owner with other family members Employee Start Date: 10/01/2024 Number of Hours: 8, Yearly Number of Hours during trading: 0 Duties: Co owner of Rental Property
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2013-07-24 |
| S63 | Uniform Securities Agent State Law Examination | 2008-02-29 |
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