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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 | 2020-09-24 |
| CA | RA | APPROVED | 2017-10-20 |
Branch Locations
50 W Fernando St. 15Th Fl, Ste 1500 [Lk/Nh-Rbo], San Jose, CA 95113 • United States
7701 Soquel Dr, Aptos, CA 95003 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Unionbanc Investment Services | Monterey | CA | 08/2008 | 10/2017 |
| Wells Fargo Clearing Services, Llc | San Jose | CA | 10/2017 | Present |
TRUSTEE FOR MOTHER; INV. RELATED; FELTON, CA; START DATE 11/2017; 1 HR PER MONTH; 1 HR DURING TRADING. CO-TRUSTEE FOR CLOSE FRIEND; INV. RELATED; SANTA CRUZ, CA; START DATE: 2/19/2021; 10 HRS PER MONTH; 0 HRS DURING TRADING. EXECUTOR FOR CLOSE FRIEND'S ESTATE; INV. RELATED; SANTA CRUZ, CA; START DATE: 4/2021; 10 HRS PER MONTH; 0 HRS DURING TRADING. | RENTAL PROPERTY (GYPSY CLIFFS); INV RELATED; WILLITS, CA; 100% OWNERSHIP; 06/2025; 1 HOUR PER MONTH; 0 DURING TRADING; RENTAL PROPERTY | RENTAL PROPERTY (SALLY SPRINGS); INV RELATED; WILLITS, CA; 100% OWNERSHIP; 06/2025; 1 HOUR PER MONTH; 0 DURING TRADING; RENTAL PROPERTY | RENTAL PROPERTY (DUCKS POINT); INV RELATED; WILLITS, CA; 100% OWNERSHIP; 06/2025; 1 HOUR PER MONTH; 0 DURING TRADING; RENTAL PROPERTY |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2006-10-27 |
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