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880 Carillon Parkway, St. Petersburg, FL 33716 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2024-06-10 |
| CA | RA | APPROVED | 2021-04-19 |
Branch Locations
608 Silver Spur Road Suite 380, Rolling Hills Estates, CA 90274 • United States
Redondo 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 | Chicago | IL | 10/2009 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Chicago | IL | 11/2016 | 04/2021 |
| Raymond James & Associates, Inc. | Rolling Hills Estates | CA | 04/2021 | Present |
LEADS NETWORKING GROUP, NOT INV RELATED, REDONDO BEACH, CA, DIRECTOR, START: 5/1/2018, 4 HOURS PER MONTH/0 DURING TRADING, DUTIES: LEAD GROUP.; FIDUCIARY, INVESTMENT RELATED, EL SEGUNDO, CA, POA FOR MOTHER, START DATE: 9/10/2018, 0 HRS/MONTH, 0 HRS DURING TRADING. CO-TRUSTEE FOR MOTHER; INV RELATED; EL SEGUNDO, CA; START DATE 6/14/2019; 1 HR PER MONTH; 1 HR DURING TRADING.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2003-10-20 |
| S63 | Uniform Securities Agent State Law Examination | 1995-02-21 |
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