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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2021-03-16 |
| CA | RA | APPROVED | 2018-11-05 |
Branch Locations
22491 El Toro Rd, Lake Forest, CA 92630 • United States
31531 Santa Margarita Pkwy, Rancho Santa Margarita, CA 92688 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors, Llc | Newport Beach | CA | 06/2013 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Newport Beach | CA | 11/2016 | 11/2018 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Costa Mesa | CA | 11/2018 | Present |
| Bank Of America, N.A. | Costa Mesa | CA | 12/2018 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2011-04-16 |
| S63 | Uniform Securities Agent State Law Examination | 2007-12-20 |
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