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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 |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2023-10-31 |
| CA | RA | APPROVED | 2020-11-02 |
Branch Locations
5 Corporate Plz, Newport Beach, CA 92660 • United States
5 Park Plaza 19Th & 20Th Fls [Lt/Sb/Sg-Rbo], Irvine, CA 92614 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | Tustin | CA | 02/2016 | 11/2016 |
| Wells Fargo Bank, Na | Newport Beach | CA | 06/2015 | Present |
| Wells Fargo Clearing Services, Llc | Newport Beach | CA | 11/2016 | Present |
NOTARY PUBLIC, NOT INVT RELATED, IRVINE, CA, NOTARY, START DATE 11/16/2019, 1 HR PER MONTH, 0 HRS DURING TRADING, NOTARIZE DOCUMENTS OUTSIDE.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2020-11-02 |
| S63 | Uniform Securities Agent State Law Examination | 2017-05-20 |
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