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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 | 2003-07-01 |
| TX | RA | APPROVED_RES | 2003-07-01 |
Branch Locations
12531 High Bluff Dr Ste 400, San Diego, CA 92130 • 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 | Present |
OCEAN WINDOWS HOMEOWNERS ASSOCIATION; NOT INV. RELATED; DEL MAR, CA; TREASURER; HOA; START DATE 1/26/2024; 5 HRS PER MONTH; 0 HRS DURING TRADING; DUTIES: ATTEND MEETINGS AND RECONCILE BILLING.; POWER OF ATTORNEY FOR MOTHER, INV RELATED, SAN DIEGO, CA, START: 7/3/2024, 2 HOURS A MONTH, 1 HOUR DURING TRADING.; POWER OF ATTORNEY FOR DAUGHTER, INV RELATED, SAN DIEGOT, CA, START: 7/3/2024, 1 HOUR A MONTH, 1 HOUR DURING TRADING.; POWER OF ATTORNEY FOR DAUGHTER, INV RELATED, SAN DIEGOT, CA, START: 7/3/2024, 1 HOUR A MONTH, 1 HOUR DURING TRADING.; POWER OF ATTORNEY FOR SON, INV RELATED, SAN DIEGOT, CA, START: 7/3/2024, 1 HOUR A MONTH, 1 HOUR DURING TRADING.; CO-TRUSTEE FOR MOTHER, INV RELATED, SAN DIEGO, CA, START: 8/21/2024, 2 HOURS PER MONTH, 0 HOURS DURING TRADING.; RENTAL PROPERTY - OCEAN; INV RELATED;DEL MAR,CA; LEASE;100% OWNERSHIP; START DATE: 02/20/2026; 1 HRS PER MONTH; 0 HRS DURING TRADING;
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2007-02-03 |
| S63 | Uniform Securities Agent State Law Examination | 1992-01-20 |
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