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501 N Broadway, St Louis, MO 63102 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2020-01-02 |
| CA | RA | APPROVED | 2019-04-04 |
Branch Locations
520 Newport Center Drive Suite 1500, Newport Beach, CA 92660 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors, Llc | Irvine | CA | 12/2010 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Irvine | CA | 11/2016 | 04/2019 |
| Stifel Nicolaus & Co Inc | Newport Beach | CA | 04/2019 | Present |
1. Savannah Neighborhood Association; 16601 Sonora Tustin, CA 92782; Homeowners Association; Board of Directors; Review and approve issues relating to the HOA; 02/03/2020; 3 Hours per Month; Not During Securities Trading Hours; Not Investment-Related.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2014-12-21 |
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