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270 Park Avenue, New York, NY 10017 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2016-11-30 |
Branch Locations
835 Fourth Street, 2Nd Floor, Santa Rosa, CA 95404 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors, Llc | Santa Rosa | CA | 08/2016 | 11/2016 |
| Jpmorgan Securities Llc | Santa Rosa | CA | 11/2016 | Present |
Entity Name: Sonoma HD Pool and Spa Investment related: No Address: e Rohnert Park California 94928 Nature of the other business: Pool Installation Position/Title/Relationship: Owner/Partner Start Date: 02/01/2024 Approximate # of hours a week: 0-10 Approximate # of hours during securities trading hours: 0 Briefly describe your duties: Owner of business, oversee and perform construction and service of in ground swimming pools and spa's. No connection to JPMC and nothing similar to my role at JPMC.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2016-05-09 |
| S63 | Uniform Securities Agent State Law Examination | 2013-04-16 |
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