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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2016-12-19 |
| CA | RA | APPROVED | 2016-12-16 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors, Llc | Sacramento | CA | 12/2011 | 12/2016 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Sacramento | CA | 12/2016 | Present |
| Bank Of America, N.A. | Sacramento | CA | 09/2017 | Present |
I*8432 For profit or not for profit: Name of outside business organization: Josephine Lugo Trust Investment related: Address of business: Sacramento, California 95826 Nature of business: , Position, title, association: , Start date of relationship: 4/1/2019 Number of hours devoted: 15 hour(s) Number of hours devoted during trading hours: 0 Duties:
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2012-05-26 |
| S65 | Uniform Investment Adviser Law Examination | 2001-04-20 |
| S63 | Uniform Securities Agent State Law Examination | 2001-01-19 |
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