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425 Market Street 17Th Floor, San Francisco, CA 94105 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2019-06-18 |
Branch Locations
200 Fourth Street Suite 100, Santa Rosa, CA 95401-6213 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Bank Na | Napa | CA | 11/2013 | 10/2018 |
| Wells Fargo Advisors Llc | Napa | CA | 11/2013 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Napa | CA | 11/2016 | 10/2018 |
| Citigroup | Santa Rosa | CA | 10/2018 | 05/2019 |
| Charles Schwab & Co., Inc. | Santa Rosa | CA | 04/2019 | Present |
| Charles Schwab Bank, Ssb | Santa Rosa | CA | 04/2019 | Present |
Notary | not investment related | Rohnert Park, California | start date 02/08/2022 | occasional notary of non-Schwab documents on my own time | less than 20 hours per month | none during securities trading hours.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2007-08-08 |
| S63 | Uniform Securities Agent State Law Examination | 2004-10-27 |
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