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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 | 2011-03-30 |
| CA | RA | APPROVED | 2011-03-21 |
Branch Locations
2033 N Main St Ste 800, Walnut Creek, CA 94596 • United States
Diablo, 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 | Walnut Creek | CA | 03/2011 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Walnut Creek | CA | 11/2016 | Present |
CONDO RENTAL; INV RELATED; 50% OWNER WITH SPOUSE; GRAND CAYMAN ISLAND; START: 2006; 0 HR/MO; 0 DURING TRADING. RENTAL PROPERTY, INV RELATED, OLYMPIC VALLEY, CA, 100% OWNERSHIP, START: 2/21/24, 3 HRS PER MONTH, 0 HRS DURING TRADING; AQUA BAY CLUB; INV RELATED; WEST BAY,CAYMAN ISLANDS; RENTAL AND PERSONAL VACATION USE;50% OWNERSHIP; START DATE: 12/19/2025; 1 HRS PER MONTH; 0 HRS DURING TRADING;
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1993-05-11 |
| S63 | Uniform Securities Agent State Law Examination | 1993-05-06 |
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