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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2023-01-17 |
| TX | RA | APPROVED | 2023-01-17 |
Branch Locations
400 Spectrum Center Drive Suite 200, Irvine, CA 92618 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | Newport Beach | CA | 07/2010 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Newport Beach | CA | 11/2016 | 01/2023 |
| Rbc Capital Markets, Llc | Newport Beach | CA | 01/2023 | Present |
| City National Bank | Newport Beach | CA | 04/2023 | Present |
1.) Name of Entity: John Fierro :: Address: 3533 Nipomo Ave. Long Beach, CA 90808 :: Investment/Not Investment Related (No) :: Business Description: Rental Property :: Capacity: Owner- Passive :: State Date: 08/01/2021 :: Duties: Manage the rental property :: Hours Devoted per month: 0 :: Hours Devoted during securities hours per month: 0 (2): Name of Entity: White Oak Non-Investment Related Address of Entity: 2530 Santiago St. Santa Ana, CA 92706 Nature of OBA: Charity Position/Title/Relationship: Board of Directors * Start Date: 01/01/23 Time Devoted: 1 hour; 0 during securities trading hours Duties: Attend quarterly Board meetings and participation in annual Board elections every April
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1995-09-29 |
| S63 | Uniform Securities Agent State Law Examination | 1993-12-13 |
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