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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2023-01-05 |
| CA | RA | APPROVED | 2022-11-01 |
Branch Locations
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | Ontario | CA | 06/2016 | 11/2016 |
| Wells Fargo Bank, Na | Glendora | CA | 03/2014 | 03/2020 |
| Wells Fargo Clearing Services, Llc | Ontario | CA | 11/2016 | 03/2020 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Ontario | CA | 03/2022 | Present |
| Bank Of America | Claremont | CA | 03/2020 | 03/2022 |
| Bank Of America, N.A. | Ontario | CA | 09/2022 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2022-10-31 |
| S63 | Uniform Securities Agent State Law Examination | 2016-08-16 |
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