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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2022-12-01 |
| CA | RA | APPROVED | 2022-11-21 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Bank, Na | La Mirada | CA | 07/2014 | 09/2022 |
| Wells Fargo Clearing Services, Llc | Lakewood | CA | 10/2019 | 05/2021 |
| Wells Fargo Clearing Services, Llc | La Mirada | CA | 07/2021 | 09/2022 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Whittier | CA | 10/2022 | Present |
| Bank Of America N.A. | Whittier | CA | 12/2022 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2021-10-11 |
| S63 | Uniform Securities Agent State Law Examination | 2020-01-24 |
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