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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 |
|---|---|---|---|
| CA | RA | APPROVED | 2022-01-13 |
Branch Locations
5 Corporate Plz, Newport Beach, CA 92660 • United States
5 Park Plaza 19Th & 20Th Fls [Lt/Sb/Sg-Rbo], Irvine, CA 92614 • 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 |
|---|---|---|---|---|
| Unionbanc Investment Services | Irvine | CA | 04/2012 | 01/2022 |
| Wells Fargo Clearing Services, Llc | Irvine | CA | 01/2022 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2011-07-01 |
| S63 | Uniform Securities Agent State Law Examination | 2007-09-07 |
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