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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 | 2025-01-27 |
Branch Locations
1702 Tennessee St, Vallejo, CA 94590 • United States
2033 N Main Street 9Th Floor [Nk/Nl-Rbo], Walnut Creek, CA 94596 • United States
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 | Santa Rosa | CA | 11/2014 | Present |
| Wells Fargo Clearing Services Llc | Santa Rosa | CA | 05/2019 | 06/2022 |
| Wells Fargo Clearing Services, Llc | Santa Rosa | CA | 07/2022 | Present |
COOKIE DEALS, LLC, NOT INVT RELATED, SANTA ROSA, CA, 100% OWNERSHIP, START DATE 7/19/2022, 16 HRS PER MONTH, 0 HRS DURING TRADING, ONLINE RESELLER. | NOTARY PUBLIC; NOT INV RELATED; BERKELEY, CA; NOTARY; START DATE 01/01/2025; 20 HOURS PER MONTH; 0 HOURS DURING TRADING; NO DUTIES
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2025-01-24 |
| S63 | Uniform Securities Agent State Law Examination | 2019-08-13 |
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