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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 | 2001-12-14 |
Branch Locations
21600 Oxnard St, 18Th Fl, Tower I Warner Center Towers, Woodland Hills, CA 91367 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | Woodland Hills | CA | 05/2009 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Woodland Hills | CA | 11/2016 | Present |
TRUSTEE OF DAUGHTER'S TRUST (1); INV. RELATED; OJAI, CA; START DATE: 12/15/2016; 20 HRS PER MONTH; LESS THAN 1 HR DURING TRADING. TRUSTEE OF DAUGHTER'S TRUST (2); INV. RELATED; OJAI, CA; START DATE: 12/15/2016; 20 HRS PER MONTH; LESS THAN 1 HR DURING TRADING. CO-TRUSTEE OF FATHER'S TRUST; INV. RELATED; THOUSAND OAKS, CA; START DATE: 6/2021; 2 HRS PER MONTH; 0 HRS DURING TRADING. TRSUTEE OF DECEASED EX-SPOUSE'S TRUST; INV. RELATED; OJAI, CA; START DATE: 10/2021; 2 HRS PER MONTH; 0 HRS DURING TRADING.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-06-02 |
| S63 | Uniform Securities Agent State Law Examination | 1993-10-13 |
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