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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 | 2016-11-18 |
| CA | RA | APPROVED | 2011-01-03 |
Branch Locations
5 Corporate Plz, Newport Beach, CA 92660 • United States
5 Park Plaza 19Th Fl [Xl-Rbo], Irvine, CA 92614 • 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 | 01/2011 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Newport Beach | CA | 11/2016 | Present |
INIZIO, LLC, INV RELATED, COSTA MESA, CA, 40% OWNERSHIP, START: 05/01/2019, 1 HR/MONTH, 0 HRS DURING TRADING. ALL TIME BRANDS, LLC, NOT INVT RELATED, IRVINE, CA, 50% OWNERSHIP, START DATE 12/14/2020, 2 HRS PER MONTH, 0 HRS DURING TRADING, ADVISE ON STRATEGIES AND HELP MONITOR FINANCIALS. RENTAL PROPERTY; INV. RELATED; ANAHEIM, CA; 10% OWNERSHIP; FRENCH QUARTER APARTMENT BUILDING; START DATE: 5/2019; 0 HRS PER MONTH; DUTIES: SUBMIT TAX DOCUMENTS TO CPA. TBD RENTAL PROPERTY, INVT RELATED, TBD, CA, 100% OWNERSHIP, START DATE 9/11/2024, 1 HR PER MONTH, 0 HRS DURING TRADING, OWNER OF RENTAL PROPERTY. RENTAL PROPERTY - ANAHEIM, INVT RELATED, COSTA MESA, CA, RENTAL;100% OWNERSHIP, START DATE 01/14/2026, 1 HR PER MONTH, 0 HRS DURING TRADING,
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1995-01-06 |
| S63 | Uniform Securities Agent State Law Examination | 1994-12-19 |
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