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501 N Broadway, St Louis, MO 63102 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2019-11-05 |
| TX | RA | APPROVED | 2019-11-01 |
Branch Locations
16870 West Bernardo Drive Suite 150, San Diego, CA 92127 • 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 Diego | CA | 05/2009 | 11/2016 |
| Wells Fargo Clearing Services, Llc | San Diego | CA | 11/2016 | 10/2019 |
| Stifel Nicolaus & Co Inc | Rancho Bernardo | CA | 11/2019 | Present |
1. Kiwanis Club of Escondido/Hidden Valley; P.O. Box 461471 Escondido CA 92046; Charitable Kiwanis Club; Board Member; 12/02/2024; 2 hrs/week; Not during securities trading hours; Not Investment-Related
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1997-04-23 |
| S63 | Uniform Securities Agent State Law Examination | 1991-06-11 |
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