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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2025-11-03 |
| CA | RA | APPROVED | 2025-05-06 |
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 Bank Na | Long Beach | CA | 09/2016 | 08/2023 |
| Wells Fargo Clearing Services Llc | Los Angeles | CA | 01/2019 | 04/2023 |
| Wells Fargo Clearing Services, Llc | Long Beach | CA | 08/2023 | 04/2025 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Visalia | CA | 04/2025 | Present |
| Bank Of America, N.A. | Visalia | CA | 05/2025 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2021-03-04 |
| S63 | Uniform Securities Agent State Law Examination | 2019-04-15 |
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