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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 | 2025-05-01 |
Branch Locations
101 Federal Pl Ste 101 [Regional Supervision], Tarpon Springs, FL 34689 • United States
3059 Townsgate Rd 4Th Fl/Ste 400 [Ld-Rbo], Westlake Village, CA 91361 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Bank | Westlake Village / Thousand Oaks | CA | 05/2005 | 07/2017 |
| Mufg Union Bank | Thousand Oaks | CA | 07/2017 | 03/2022 |
| Unionbanc Investment Services | Thousand Oaks | CA | 08/2017 | 03/2022 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Westlake Village | CA | 04/2022 | 04/2025 |
| Wells Fargo Clearing Services | Westlake Village | CA | 04/2025 | Present |
| Wells Fargo Bank | Westlake Village | CA | 04/2025 | Present |
Food Share of Ventura County Not investment related 4156 Southbank Road Oxnard, Ca. 93036 Food Bank Board Member Board Member June 2023 15 0 Active board member
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2005-11-02 |
| S63 | Uniform Securities Agent State Law Examination | 2004-11-01 |
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