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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 | 2021-02-17 |
| CA | RA | APPROVED | 2020-12-14 |
Branch Locations
420 Montgomery St 7Th Fl [Nf*/Ng-Rbo], San Francisco, CA 94104 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | Santa Rosa | CA | 06/2011 | 11/2016 |
| Wells Fargo Bank, N.A. | Santa Rosa | CA | 07/2008 | Present |
| Wells Fargo Clearing Services, Llc | Santa Rosa | CA | 11/2016 | Present |
HAM DELLES COMPANY INC, NOT INV RELATED, SANTA ROSA, CA, RESIDENT MANAGER, START 1/1/2013, 20 HOURS PER MONTH, 4 HOURS DURING TRADING, PROPERTY MANAGER. PETALUMA ECUMENICAL PROPERTIES HOUSING, INV RELATED, SANTA ROSA, CA, AUDIT COMMITTEE MEMBER, START 4/24/2024, 1 HOUR PER MONTH, 1 HOUR DURING TRADING, REVIEWING RESULTS OF ANNUAL EXTERNAL FINANCIAL AUDIT AND INTERNAL CONTROLS.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2020-12-14 |
| S63 | Uniform Securities Agent State Law Examination | 2011-07-20 |
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