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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 |
|---|---|---|---|
| GA | RA | APPROVED | 2024-12-03 |
| CA | RA | APPROVED | 2023-11-03 |
Branch Locations
15373 Innovation Drive Suite 100, San Diego, CA 92128 • 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 |
|---|---|---|---|---|
| Northwestern Mutual Life Ins. Co. | Milwaukee | WI | 06/1993 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Rancho Santa Fe | CA | 11/2016 | 11/2023 |
| Wells Fargo Advisors Financial Network, Llc | San Diego | CA | 11/2023 | Present |
HOLDS INACTIVE BOARD OF ACCOUNTANCY LICENSE IN THE STATE OF CALIFORNIA; NOT INVESTMENT RELATED; NO TIME DEVOTED. CCS CAPITAL MANAGEMENT, LLC; INV RELATED; SAN DIEGO, CA; FINANCIAL ADVISORY;50% OWNERSHIP; BUSINESS PARTNER; START DATE: 11/11/2024; 128 HRS PER MONTH; 128 HRS DURING TRADING;| CERTIFIED PUBLIC ACCOUNTANT ; INV RELATED; ALPHARETTA, GA; ASSOCIATION FOR CPAS - EDUCATION AND COMPLIANCE; START DATE: 10/27/2025; 1 HRS PER MONTH; 0 HRS DURING TRADING; |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1997-04-10 |
| S63 | Uniform Securities Agent State Law Examination | 1991-08-22 |
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