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8540 Colonnade Center Drive, Raleigh, NC 27615-3052 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2026-02-06 |
Branch Locations
75 N. Fair Oaks Ave Suite 400, Pasadena, CA 91103 • United States
4150 Concours Street Suite 100, Ontario, CA 91764 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Bank | Norco | CA | 10/2006 | 07/2021 |
| Wells Fargo Advisors Llc | Norco | CA | 01/2011 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Norco | CA | 11/2016 | 07/2021 |
| City National Bank | Pasadena | CA | 07/2021 | 01/2026 |
| City National Securities | Pasadena | CA | 07/2021 | 01/2026 |
| First Citizens Investor Services | Raleigh | NC | 01/2026 | Present |
| First Citizens Bank | Ontario | CA | 01/2026 | Present |
(1) Name of Entity: Glendora Lassie LeagueSoftball Non-Investment related Address: PO Box 361 Glendora, CA 91741 Nature of OBA: Girls' youth softball league Role/Position/Title: Board Member and Coach Start Date: 10/14/22 Time devoted: 5 hours per month; 0 during securities trading hours Duties: I am the Scheduler and Umpire in Charge. I coordinate all practices and games schedules and also coordinate umpires for the league games. As a coach I assist with practice planning, drills and coaching during games (2) Name of Entity: Michael Lange; Non-investment related; Address: 739 E Renwick Rd Glendora CA 91740; Nature of OBA: I am providing hitting and fielding lessons to your men and women for both baseball and softball. ; Position/Title/Relationship: Other; Start Date: 01/01/2023; Time devoted: 6 hours per month; 0 during securities trading hours; Duties: I am providing hitting and fielding lessons to your men and women for both baseball and softball. I have not provided lesson in about a year or so
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2008-06-17 |
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