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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 | 2023-04-03 |
| CA | RA | APPROVED | 2021-02-13 |
Branch Locations
301 University Ave 2Nd, 3Rd, & 4Th Fls [Nd-Rbo], Palo Alto, CA 94301 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Bank, Na | Palo Alto | CA | 12/2006 | Present |
| Wells Fargo Advisors Llc | Palo Alto | CA | 06/2014 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Palo Alto | CA | 11/2016 | Present |
POSHMARK; NOT INVESTMENT RELATED; SUNNYVALE,CA; SELLER; START DATE 11/21/2019; NUMBER OF HOURS PER MONTH 1; NUMBER OF HOURS DURING TRADING 0; LISTING ITEMS FOR SALE AND THEN SENDING THE PACKAGE WHEN SOLD. 5 MILES; NOT INVESTMENT RELATED; SUNNYVALE,CA; SELLER; START DATE 03/29/2021; NUMBER OF HOURS PER MONTH 2; NUMBER OF HOURS DURING TRADING 0; SELLING USED FURNITURE AND GOODS. OFFER UP; NOT INVESTMENT RELATED; SUNNYVALE,CA; SELLER; START DATE 03/27/2021; NUMBER OF HOURS PER MONTH 2; NUMBER OF HOURS DURING TRADING 0; SELLING USED HOME ITEMS.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2021-02-13 |
| S63 | Uniform Securities Agent State Law Examination | 2014-08-12 |
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