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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 | 2024-11-15 |
| CA | RA | APPROVED | 2016-09-30 |
Branch Locations
2033 N Main Street 9Th Floor [Nk/Nl-Rbo], Walnut Creek, CA 94596 • United States
2220 Mountain Blvd, Oakland, CA 94611 • United States
3348 Lakeshore Ave, Oakland, CA 94610 • 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 |
|---|---|---|---|---|
| Citigroup Global Markets Inc. | San Leandro | CA | 05/2007 | 09/2016 |
| Welsl Fargo Advisors, Llc | Walnut Creek | CA | 09/2016 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2004-10-27 |
| S63 | Uniform Securities Agent State Law Examination | 2000-05-24 |
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