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1200 Harbor Boulevard, Weehawken, NJ 07086 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2022-08-11 |
Branch Locations
600 West Broadway Suite 2100, San Diego, CA 92101 • United States
La Jolla, CA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | San Diego | CA | 05/2009 | 11/2016 |
| Wells Fargo Clearing Services, Llc | San Diego | CA | 11/2016 | 08/2022 |
| Ubs Financial Services Inc | San Diego | CA | 08/2022 | Present |
1) CO-TRUSTEE FOR MOTHER'S TRUST; INVESTMENT RELATED; LA JOLLA, CA; START DATE 3/2012; 1 HR PER MONTH. RENTAL PROPERTY; INVESTMENT RELATED; LA JOLLA,CA; 50% OWNERSHIP; START DATE 09/01/2019; NUMBER OF HOURS PER MONTH 0; NUMBER OF HOURS DURING TRADING 0; NO DUTIES. 2) NAME OF OTHER BUSINESS: Rest Haven Children's Health Fund/ INVESTMENT RELATED?: No / ADDRESS: PO Box 1027, San Marcos, CA / NATURE OF THE BUSINESS: Charity / POSITION: Board Member/ DUTIES: Review grant requests for children who are in need of medical or health funding. / START DATE: 1-20-2012 / HOURS DEVOTED TO BUSINESS: NA
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-08-25 |
| S63 | Uniform Securities Agent State Law Examination | 1997-01-31 |
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