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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 | 2022-11-04 |
| TX | RA | APPROVED | 2022-11-04 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors, Llc | Pasadena | CA | 08/2015 | 11/2016 |
| Fresno State University | Fresno | CA | 01/2014 | Present |
| Wells Fargo Clearing Services, Llc | Pasadena | CA | 11/2016 | 11/2022 |
| Wells Fargo Advisors Financial Network, Llc | Fresno | CA | 11/2022 | Present |
SWEENEY INVESTMENT MANAGEMENT INCORPORATED, INVT RELATED, FRESNO, CA, 100% OWNERSHIP, START DATE 11/4/2022, 200 HRS PER MONTH, 6.5 HRS DURING TRADING, TRANSITIONING TO FINET. AXEALS FOUNDATION ; NOT INV RELATED;RANCHO PALOS VERDES,CA; BOARD MEMBER; START DATE: 04/17/2026; 2 HRS PER MONTH; 0 HRS DURING TRADING;
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2015-10-02 |
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