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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 | 2021-07-28 |
| TX | RA | APPROVED | 2021-07-28 |
Branch Locations
520 Newport Center Dr Ste 1700, Newport Beach, CA 92660 • United States
135 S State College Blvd Ste 550, Brea, CA 92821 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc. | Brea | CA | 05/2000 | 07/2021 |
| Wells Fargo Clearing Services, Llc | Newport Beach | CA | 07/2021 | Present |
INACTIVE CALIFORNIA CPA LICENSE; NOT INVESTMENT RELATED; SACRAMENTO,CA; START DATE 08/04/2021; NUMBER OF HOURS PER MONTH 0; NUMBER OF HOURS DURING TRADING 0; INACTIVE CPA. RENTAL PROPERTY; INVESTMENT RELATED; HUNTINGTON BEACH,CA; 100% OWNERSHIP; START DATE 06/01/2018; NUMBER OF HOURS PER MONTH 2; NUMBER OF HOURS DURING TRADING 0; OWNER.; TRUSTEE FOR SISTER AND BROTHER-IN-LAW, INV RELATED, DIAMOND BAR, CA, START: 3/23/2011, 0 HRS/MONTH, 0 HRS DURING TRADING. SOROPTIMIST INTERNATIONAL OF HUNTINGTON BEACH; NOT INV. RELATED; HUNTINGTON BEACH, CA; TREASURER; START DATE: 7/1/2024; 5 HOURS PER MONTH; 0 HOURS DURING TRADING HOURS; DUTIES: ATTEND MEETINGS, PAY VENDORS FOR SERVICES RENDERED, REIMBURSE MEMBERS FOR EXPENSES PAID, PARTICIPATE IN FUNDRAISING EVENTS AND VOTE ON ITEMS.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2000-08-03 |
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