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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 |
|---|---|---|---|
| CA | RA | APPROVED | 2023-03-29 |
Branch Locations
3059 Townsgate Rd 4Th Fl/Ste 400 [Ld-Rbo], Westlake Village, CA 91361 • United States
3059 Townsgate Rd 4Th Fl, Ste 400, Westlake Village, CA 91361 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Clearing Services, Llc | Westlake Village | CA | 07/2016 | Present |
ROGER DUNN GOLF SHOP; NOT INV. RELATED; CANOGA PARK,CA; SALES PERSON; START DATE 04/03/2022; NUMBER OF HOURS PER MONTH 64; NUMBER OF HOURS DURING TRADING 0; SERVICING CUSTOMERS WITH PURCHASES OF GOLF EQUIPMENT AND REPAIRS. JAMES DELGADO - PERSONAL RUNNING COACH; INV RELATED; SIMI VALLEY, CA; 100% OWNERSHIP; START 09/30/2024; 20 HOURS PER MONTH; 0 HOURS DURING TRADING; PERSONAL RUNNING COACH.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2023-03-24 |
| S63 | Uniform Securities Agent State Law Examination | 2019-09-25 |
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