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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 | 2024-03-12 |
| CA | RA | APPROVED | 2020-12-08 |
Branch Locations
3059 Townsgate Rd 4Th Fl, Ste 400, Westlake Village, CA 91361 • United States
15760 Ventura Blvd Ste 1250 [Sk-Rbo], Encino, CA 91436 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | Westlake Village | CA | 05/2016 | 11/2016 |
| Wells Fargo Bank, Na | Calabasas | CA | 08/2014 | Present |
| Wells Fargo Clearing Services, Llc | Calabasas | CA | 11/2016 | Present |
TBD, LLC, INVT RELATED, THOUSAND OAKS, CA, 50% OWNERSHIP, START DATE 6/28/2021, 1 HR PER MONTH, 0 HRS DURING TRADING, OWNING PROPERTY. RENTAL PROPERTY; INVESTMENT RELATED; THOUSAND OAKS,CA; 50% OWNERSHIP; START DATE 05/03/2021; NUMBER OF HOURS PER MONTH 1; NUMBER OF HOURS DURING TRADING 0; OWNER.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2020-12-08 |
| S63 | Uniform Securities Agent State Law Examination | 2016-07-13 |
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