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425 Market Street 17Th Floor, San Francisco, CA 94105 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| AZ | RA | APPROVED | 2022-08-29 |
Branch Locations
425 Market Street 17Th Floor, San Francisco, CA 94105 • United States
8040 South 48Th Street, Phoenix, AZ 85044 • 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 |
|---|---|---|---|---|
| Wells Fargo Bank, N.A. | Sun Lakes | AZ | 08/2008 | 07/2021 |
| Wells Fargo Advisors Llc | Sun Lakes | AZ | 03/2011 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Scottsdale | AZ | 02/2013 | 07/2021 |
| Cambridge Investment Research, Inc. | Fairfield | IA | 07/2021 | 07/2022 |
| Cambridge Investment Research Advisors, Inc. | Fairfield | IA | 07/2021 | 07/2022 |
| Schwab Wealth Advisory, Inc. | Phoenix | AZ | 08/2022 | Present |
| Charles Schwab & Co., Inc. | Phoenix | AZ | 08/2022 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2013-07-12 |
| S63 | Uniform Securities Agent State Law Examination | 2011-04-26 |
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