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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 |
|---|---|---|---|
| TX | RA | APPROVED | 2010-01-29 |
| CA | RA | APPROVED | 2003-07-01 |
Branch Locations
500 Silver Spur Rd 3Rd Fl Ste 300, Rolling Hills Estates, CA 90275 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | Rolling Hills Estates | CA | 05/2009 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Rolling Hills Estates | CA | 11/2016 | Present |
1. BLUE SHIELD / BLUE CROSS OF CALIFORNIA, NOT INVESTMENT RELATED, CALIFORNIA, INSURANCE, BEGAN 9/92, LESS THAN 2 HOURS/YEAR, RECEIVE INSURANCE COMMISSION TRAILS. 2. PACIFICARE, NOT INVESTMENT RELATED, CA, INSURANCE, BEGAN 1996, LESS THAN 1 HOUR/YEAR, RECEIVE INSURANCE COMMISSION TRAILS. 3.KAISER, NOT INVESTMENT RELATED, CA, INSURANCE, BEGAN 1995, LESS THAN 1 HOUR/YEAR, RECEIVE INSURANCE COMMISSION TRAILS. 4. GE CAPITAL ASSURANCE, NOT INVESTMENT RELATED, CT, INSURANCE, BEGAN 4/95, LESS THAN 1 HOUR/YEAR, RECEIVE INSURANCE COMMISSION TRAILS. 5.UNUM/PROVIDENT, NOT INVESTMENT RELATED, TN, INSURANCE, BEGAN 3/91, LESS THAN 1 HOUR/YEAR, RECEIVE INSURANCE COMMISSION TRAILS. 6. CO-TRUSTEE OF FATHER'S TRUST; INV. RELATED; RANCHO PALOS VERDES, CA; START DATE 10/2020; 2 HRS PER MONTH; LESS THAN 1 HR DURING TRADING.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1998-03-19 |
| S63 | Uniform Securities Agent State Law Examination | 1994-09-26 |
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