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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2022-06-02 |
| CA | RA | APPROVED | 2022-05-09 |
Branch Locations
1999 Harrison Street Suite 2200, Oakland, CA 94612 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | Walnut Creek | CA | 05/2009 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Walnut Creek | CA | 11/2016 | 08/2020 |
| First Republic Investement Management, Inc. | Walnut Creek | CA | 09/2020 | 01/2021 |
| First Republic Securities Company, Llc | Walnut Creek | CA | 09/2020 | 01/2021 |
| Morgan Stanley Smith Barney Llc | Oakland | CA | 04/2022 | Present |
| Ubs Financial Services | Walnut Creek | CA | 01/2021 | 03/2022 |
*497807 - Rental property; Investment related Yes; Walnut Creek; California; Real Estate; co-owner of condominium(proprietor, partner, officer, director, employee, trustee, agent);05/2009; During business hours: 0; After business hours: 0; Property Management
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2020-03-11 |
| S63 | Uniform Securities Agent State Law Examination | 2005-11-30 |
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