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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 | 2025-11-10 |
| MN | RA | APPROVED | 2024-05-07 |
| AZ | RA | APPROVED | 2022-10-21 |
Branch Locations
13545 Hawthorne Blvd, Hawthorne, CA 90250 • United States
2141 Rosecrans Ave Ste 4100 [Lg/Lb-Rbo], El Segundo, CA 90245 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| The Vanguard Group, Inc. | Scottsdale | PA | 06/2021 | 08/2022 |
| One Main Financial | Phoenix | AZ | 03/2021 | 05/2021 |
| Self-Employed | Phoenix | AZ | 03/2021 | 03/2021 |
| Hyundai/Genesis Of Peoria | Peoria | AZ | 08/2020 | 02/2021 |
| Self-Employed | Merced | CA | 01/2020 | 04/2020 |
| University Of California Merced Dining Center (Pavilion) | Merced | CA | 08/2017 | 03/2020 |
| University Of California Merced | Merced | CA | 08/2016 | 05/2020 |
| Self-Employed | Phoenix | AZ | 04/2020 | 12/2020 |
| Wells Fargo Clearing Services, Llc | Chandler | AZ | 09/2022 | Present |
| Wells Fargo Bank, Na | Chandler | AZ | 09/2022 | Present |
L&C LIMITED LLC, NOT INVT RELATED, MINNEAPOLIS, MN, 100% OWNERSHIP, START DEATE 10/31/2024, 25 HRS PER MONTH, 0 HRS DURING TRADING, ONLINE RETAIL SALES.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2022-10-19 |
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