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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 | 2020-09-30 |
| CA | RA | APPROVED | 2020-09-29 |
Branch Locations
27555 Ynez Road Ste 120, Temecula, CA 92591 • United States
5256 S Mission Rd Ste 903 [Office Of Convenience], Bonsall, CA 92003 • 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 |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Escondido | CA | 10/2006 | 09/2020 |
| Bank Of America, N.A. | Escondido | CA | 09/2009 | 09/2020 |
| Wells Fargo Clearing Services, Llc | San Diego | CA | 09/2020 | Present |
1. BOYS & GIRLS CLUBS OF NORTH COUNTY FOUNDATION, INV RELATED, BONSALL, CA, BOARD MEMBER, START 1/1/2018, 5 HOURS PER MONTH, ZERO DURING TRADING, REVIEWING FINANCIALS FOR SUPPORT OF ONGOING PROGRAMS. 2. RENTAL PROPERTY, INV RELATED, FALLBROOK, CA, 100% OWNERSHIP, START 7/15/2020, 1 HOUR PER MONTH, ZERO DURING TRADING, COORDINATE WITH PROPERTY MANAGEMENT COMPANY.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2001-08-27 |
| S63 | Uniform Securities Agent State Law Examination | 1993-04-28 |
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