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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 | 2023-11-13 |
Branch Locations
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 |
|---|---|---|---|---|
| Bank Of America, N.A. | San Francisco | CA | 09/2009 | 09/2017 |
| Oppenheimer & Co. Inc. | San Francisco | CA | 09/2017 | 11/2023 |
| Wells Fargo Advisors Financial Network, Llc | San Rafael | CA | 11/2023 | Present |
CALIFORNIA STREET WEALTH MANAGEMENT LLC; INV. RELATED; SAN RAFAEL, CA; 50% OWNERSHIP; FINET PRACTICE FINANCIAL SERVICES; START DATE 12/13/2023; 160 HRS PER MONTH; 8 HRS DURING TRADING; DUTIES: MANAGING PARTNER. CHAVES VENTURES CORP; INV. RELATED; SAN RAFAEL, CA; 100% OWNERSHIP; FINET PRACTICE FINANCIAL SERVICES; START DATE 1/16/2024; 10 HRS PER MONTH; 0 HRS DURING TRADING; DUTIES: CEO.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2002-09-13 |
| S63 | Uniform Securities Agent State Law Examination | 1992-09-02 |
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