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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 |
|---|---|---|---|
| CA | RA | APPROVED | 2009-03-03 |
Branch Locations
1999 Avenue Of The Stars Ste 2200, Los Angeles, CA 90067 • United States
Manhattan Beach, 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 | Los Angeles | CA | 05/2009 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Los Angeles | CA | 11/2016 | Present |
BON CORP II; INV RELATED; MANHATTAN BEACH, CA; REAL ESTATE INVESTMENTS; 50% OWNERSHIP; START 6/2004; 5 HOURS DEVOTED PER MONTH, NONE DURING SECURITIES TRADING HOURS. BON CORP; INV RELATED; MANHATTAN BEACH, CA; REAL ESTATE; 25% OWNERSHIP; START 2003; 2 HRS MONTH; 0 DURING TRADING HRS. OUTDOORSY; NOT INVESTMENT RELATED; MANHATTAN BEACH,CA; CONVERSION VAN RENTAL; INDEPENDENT CONTRACTOR; 100% OWNERSHIP; START DATE 07/01/2019; NUMBER OF HOURS PER MONTH 1; NUMBER OF HOURS DURING TRADING 0; CONVERSION VAN RENTAL INDEPENDENT OWNER.; LOAN, INV RELATED, HERMOSA BEACH, CA, START: 5/1/2020, 0 HRS/MONTH, 0 HRS DURING TRADING.; LOAN, INV RELATED, REDWOOD CITY, CA, START: 10/19/2021, 0 HRS/MONTH, 0 HRS DURING TRADING. NICK & SONS, LLC, NOT INVT RELATED, MANHATTAN BEACH, CA, 50% OWNERSHIP, START DATE 11/1/2022, 0 HRS PER MONTH, 0 HRS DURING TRADING, PARTIAL OWNER IN DELI/FOOD MARKET. POWER OF ATTORNEY FOR FATHER; INV RELATED;WESTCHESTER,NY; MANAGE ASSETS ; POWER OF ATTORNEY/CO-POWER OF ATTORNEY; START DATE: 10/10/2019; 1 HRS PER MONTH; 1 HRS DURING TRADING; POWER OF ATTORNEY FOR MOTHER; INV RELATED;WESTCHESTER,NY; MANAGE ASSETS ; POWER OF ATTORNEY/CO-POWER OF ATTORNEY; START DATE: 10/10/2019; 1 HRS PER MONTH; 1 HRS DURING TRADING;
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1996-06-12 |
| S63 | Uniform Securities Agent State Law Examination | 1994-04-06 |
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