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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2018-01-16 |
| TX | RA | APPROVED | 2018-01-16 |
Branch Locations
99 Almaden Boulevard Suite 300, San Jose, CA 95113-1603 • United States
Hollister, CA • 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 Advisors Llc | San Jose | CA | 05/2009 | 11/2016 |
| Wells Fargo Clearing Services, Llc | San Jose | CA | 11/2016 | 01/2018 |
| Rbc Capital Markets, Llc. | San Jose | CA | 01/2018 | Present |
| City National Bank | San Jose | CA | 04/2018 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2001-08-06 |
| S63 | Uniform Securities Agent State Law Examination | 1991-03-01 |
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