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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 | 2023-02-27 |
| CA | RA | APPROVED | 2014-03-04 |
Branch Locations
2400 E Katella Ave Ste 1000, Anaheim, CA 92806 • United States
2141 Rosecrans Ave Ste 4100 [Lg/Lb-Rbo], El Segundo, CA 90245 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | Torrance | CA | 05/2009 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Torrance | CA | 11/2016 | Present |
ASTRA LUMINA ASSET MANAGEMENT LLC ; INV RELATED;REDONDO BEACH,CA; INVESTMENT MANAGEMENT ; SR REGISTERED CLIENT ASSOCIATE; START DATE: 02/09/2026; 200 HRS PER MONTH; 200 HRS DURING TRADING; ASTRAVIA FAMILY WEALTH OFFICE LLC; INV RELATED;EL SEGUNDO,CA; INVESTMENT MANAGEMENT AND ADVICE; CHIEF COMPLIANCE OFFICER; START DATE: 06/23/2026; 200 HRS PER MONTH; 200 HRS DURING TRADING;
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2014-03-10 |
| S63 | Uniform Securities Agent State Law Examination | 2008-03-31 |
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