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1200 17Th Street Suite 2000, Denver, CO 80202 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2023-06-29 |
| CA | RA | APPROVED | 2022-02-28 |
Branch Locations
1200 17Th Street Suite 2000, Denver, CO 80202 • United States
100 Pringle Ave #310, Walnut Creek, CA 94596 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors, Llc | Walnut Creek | CA | 12/2014 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Walnut Creek | CA | 11/2016 | 01/2018 |
| Capital Advantage, Inc. | Lafayette | CA | 12/2014 | 12/2017 |
| Mercer Global Advisors Inc. | Walnut Creek | CA | 02/2022 | 09/2022 |
| Capital Advantage Inc. | Lafayette | CA | 01/2018 | 01/2022 |
| Mercer Global Advisors Inc. | Walnut Creek | CA | 09/2022 | 09/2024 |
| Mercer Global Advisors, Inc, | Walnut Creek | CA | 09/2024 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2016-05-19 |
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