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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 | 2020-03-20 |
| CA | RA | APPROVED | 2020-03-19 |
Branch Locations
400 Capitol Mall Ste 1700, Sacramento, CA 95814 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Cal-Poly Asi | San Luis Obispo | CA | 09/2014 | 06/2018 |
| Cal-Poly Asi | San Luis Obispo | CA | 09/2016 | 07/2018 |
| Mindbody | San Luis Obispo | CA | 06/2017 | 09/2017 |
| Unemployed | San Luis Obispo | CA | 07/2018 | 10/2018 |
| Axa-Advisors, Llc | New York | NY | 10/2018 | 03/2020 |
| Wells Fargo Clearing Services, Llc | Sacramento | CA | 03/2020 | Present |
VENDING MACHINE; NOT INV RELATED; ROSEVILLE, CA; 100% OWNERSHIP; START DATE 7/31/2024; 4 HOURS PER MONTH; 0 DURING TRADING; OWNER & OPERATOR OF VENDING MACHINE, REFILLING SNACKS & DRINKS.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2018-11-20 |
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