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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2019-05-07 |
| TX | RA | APPROVED_RES | 2019-05-06 |
Branch Locations
4250 Executive Square Suite 800, La Jolla, CA 92037-9103 • United States
Encinitas, 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 | Carlsbad | CA | 10/2010 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Carlsbad | CA | 11/2016 | 05/2019 |
| Rbc Capital Markets, Llc. | La Jolla | CA | 05/2019 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1996-11-08 |
| S63 | Uniform Securities Agent State Law Examination | 1994-10-21 |
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