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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 | 2011-01-03 |
Branch Locations
3660 State St [Lh-Rbo], Santa Barbara, CA 93105 • United States
Solvang, CA • 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 | Santa Barbara | CA | 01/2011 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Santa Barbara | CA | 11/2016 | Present |
LYFT; NOT INV. RELATED; SAN FRANCISCO, CA; DRIVER; START DATE 3/2019; 4 HRS PER MONTH; 0 HRS DURING TADING; DUTIES: DRIVER.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1993-01-29 |
| S63 | Uniform Securities Agent State Law Examination | 1992-08-11 |
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