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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 | 2020-09-29 |
| TX | RA | APPROVED | 2020-09-29 |
Branch Locations
27555 Ynez Road Ste 120, Temecula, CA 92591 • United States
5256 S Mission Rd Ste 903 [Office Of Convenience], Bonsall, CA 92003 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Bonsall | CA | 06/2014 | 09/2020 |
| Bank Of America, N.A. | Bonsall | CA | 10/2014 | 09/2020 |
| Saxon'S Dog Handling | Fallbrook | CA | 01/2005 | Present |
| Wells Fargo Clearing Services, Llc | San Diego | CA | 09/2020 | Present |
TIFFANY SAXON'S DOG HANDLING, NOT INVT RELATED, FALLBROOK, CA, 100% OWNERSHIP, START 1/1/2005, 24 HRS PER MONTH, 0 HRS DURING TRADING, SHOW DOGS, GROOM DOGS AND TRANSPORT TO SHOWS.| POWER OF ATTORNEY FOR FATHER; INV. RELATED; FALLBROOK, CA; START 10/2021.| RENTAL PROPERTY, INV RELATED, FALLBROOK, CA, 100% OWNERSHIP, START 6/15/2022, 1 HR PER MONTH, 0 HRS DURING TRADING, LANDLORD.| RENTAL PROPERTY, INVT RELATED, FALLBROOK, CA, 100% OWNERSHIP, START DATE 10/1/2024, 2 HRS PER MONTH, 0 HRS DURING TRADING, LANDLORD. | TRUSTEE FOR FATHER'S TRUST; INVESTMENT RELATED; FALLBROOK, CA; TRUSTEE; 11/01/2024; 1 HOUR PER MONTH; 1 HOUR DURING TRADING HOURS; TRUSTEE| FALLBROOK PUBLIC UTILITY DISTRICT; NOT INV RELATED; FALLBROOK, CA; COMMUNITY BENEFIT PROGRAM; BOARD MEMBER; START DATE 07/15/2025; 1 HOUR PER MONTH; 0 HOURS DURING TRADING HOURS
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2014-10-20 |
| S63 | Uniform Securities Agent State Law Examination | 2011-08-08 |
| S65 | Uniform Investment Adviser Law Examination | 2008-02-25 |
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