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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 |
|---|---|---|---|
| CA | RA | APPROVED | 2026-05-04 |
| TX | RA | APPROVED | 2026-05-01 |
Branch Locations
4309 Hacienda Drive Ste 300, Pleasanton, CA 94588 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Pleasanton | CA | 09/2011 | 05/2026 |
| Bank Of America, N.A. | Pleasanton | CA | 12/2011 | 05/2026 |
| Wells Fargo Clearing Services, Llc | Pleasanton | CA | 05/2026 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1996-04-22 |
| S63 | Uniform Securities Agent State Law Examination | 1995-06-27 |
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