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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_RES | 2023-02-16 |
| CA | RA | APPROVED | 2007-02-16 |
Branch Locations
520 Newport Center Dr Ste 1700, Newport Beach, CA 92660 • 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 | Newport Beach | CA | 05/2009 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Newport Beach | CA | 11/2016 | Present |
NOBLE VIKINGS CHARITIES, INV RELATED, NEWPORT BEACH, CA, ENDOWMENT FUND COMMITTEE MEMBER, START 5/1/2012, 1 HOUR PER MONTH, ZERO DURING TRADING. MAKE A WISH FOUNDATION, INV RELATED, IRVINE, CA, FINANCE COMMITTEE MEMBER, START 12/1/2015, 5 HOURS PER MONTH, ZERO DURING TRADING. 47 RANCH N. TEXAS LLC, INV RELATED, JUNE LAKE, CA, 10.2% OWNERSHIP WITH SPOUSE, START 02/24/2021, ZERO HOURS PER MONTH, ZERO DURING TRADING, SHARED OWNERSHIP OF RECREATIONAL USE HOME.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1992-12-11 |
| S63 | Uniform Securities Agent State Law Examination | 1992-12-07 |
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