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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 |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2011-01-13 |
| CA | RA | APPROVED | 2003-07-01 |
Branch Locations
500 Silver Spur Rd 3Rd Fl Ste 300, Rolling Hills Estates, CA 90275 • United States
Redondo Beach, CA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | Rolling Hills Estates | CA | 05/2009 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Rolling Hills Estates | CA | 11/2016 | Present |
1.DEARBORN SCHOOL PROVIDER OF EDUCATION/INSTRUCTION TO THE FINANCIAL SERVICES INDUSTRY. 2.SELF-EMPLOYED AUTHOR; NOT INVESTMENT RELATED; CALIFORNIA; START DATE 4/2012; 8-10 HRS PER MONTH; 0 HRS DURING TRADING. 3.REDONDO BEACH CENTER FOR SPRITUAL LIVING, NON INV-REL, REDONDO BEACH, CA, TEACHER, START: 3/11/15, 8 HRS/MO, 0 DURING TRADING, DUTIES: WOMEN, MONEY & PROSPERITY COURSE. 4. RENTAL PROPERTY; INV. RELATED; REDONDO BEACH, CA; CO-OWNER; START DATE 1/21/2016; 4 HRS PER MONTH; 0 HRS DURING TRADING.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1996-08-23 |
| S63 | Uniform Securities Agent State Law Examination | 1995-04-07 |
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