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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
770 Tamalpais Dr Ste 220 [Nn-Rbo], Corte Madera, CA 94925 • United States
3700 Old Redwood Hwy Ste 108 [Ra-Rbo], Santa Rosa, CA 95403 • United States
770 Tamalpais Dr Ste 400, Corte Madera, CA 94925 • United States
1455 First St Ste 201, Napa, CA 94559 • United States
318 Fifth St, Eureka, CA 95501 • United States
3700 Old Redwood Hwy Ste 108, Santa Rosa, CA 95403 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Principal Funds Distributor | El Dorado Hills | CA | 12/2007 | 04/2024 |
| Unemployed | San Francisco | CA | 05/2024 | 07/2024 |
| Fidelity Investments | San Francisco | CA | 08/2024 | 01/2025 |
| Wells Fargo Clearing Services, Llc | San Francisco | CA | 01/2025 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2021-12-11 |
| S65 | Uniform Investment Adviser Law Examination | 1994-08-11 |
| S63 | Uniform Securities Agent State Law Examination | 1991-08-14 |
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