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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| ID | RA | APPROVED | 2022-04-29 |
| TX | RA | APPROVED_RES | 2019-01-17 |
| WA | RA | APPROVED | 2018-08-23 |
Branch Locations
4815 Point Fosdick Dr Nw, Gig Harbor, WA 98335 • United States
1201 Pacific Ave, Tacoma, WA 98402 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Bank, Na | Puyallup | WA | 04/2012 | 07/2018 |
| Wells Fargo Advisors, Llc | Puyallup | WA | 03/2015 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Puyallup | WA | 11/2016 | 07/2018 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Tacoma | WA | 08/2018 | Present |
| Bank Of America, N.A. | Tacoma | WA | 08/2018 | Present |
For profit or not for profit: For profit Name of outside business organization: Spanaway, WA Rental Investment related: Yes Address of business: Spanaway, WA 98387 Position, title, association: Owner Start date of relationship: 8-10-14 Number of hours devoted: 4 per month Number of hours devoted during trading hours: 0 Duties: Landlord I*8134 For profit or not for profit: Name of outside business organization: N/A I dont have an entity name Investment related: Address of business: Puyallup, Washington 98371 Nature of business: , Position, title, association: , Start date of relationship: 6/1/2019 Number of hours devoted: 4 hour(s) Number of hours devoted during trading hours: 0 Duties:
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2015-06-02 |
| S63 | Uniform Securities Agent State Law Examination | 2015-05-12 |
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