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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 |
|---|---|---|---|
| MT | RA | APPROVED | 2025-07-01 |
| TX | RA | APPROVED_RES | 2025-06-14 |
| CA | RA | APPROVED | 2025-06-13 |
Branch Locations
1999 Avenue Of The Stars Ste 2200, Los Angeles, CA 90067 • 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 |
|---|---|---|---|---|
| Goldman Sachs & Co. | Los Angeles | CA | 10/2005 | 06/2025 |
| Wells Fargo Clearing Services, Llc | Los Angeles | CA | 06/2025 | Present |
Finance Committee Member at Sherwood Country Club Charitable Foundation, a country club. Organization's primary address is in Thousand Oaks, CA. Organization is not primarily engaged in investment-related activity. Start date is is August 1, 2014. Three hours per month. Duties include oversight of organizational affairs. LEGAL/ATTORNEY/PARALEGAL; NOT INV RELATED;SAN FRANCISCO,CA; REGULATE CALIFORNIA ATTORNEYS; START DATE: 7/7/2026; 1 HRS PER MONTH; 0 HRS DURING TRADING;
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2025-06-12 |
| S63 | Uniform Securities Agent State Law Examination | 1994-01-20 |
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