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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2023-04-10 |
| TX | RA | APPROVED | 2023-04-10 |
Branch Locations
400 Spectrum Center Drive Suite 200, Irvine, CA 92618 • 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 | Newport Beach | CA | 05/2009 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Newport Beach | CA | 11/2016 | 06/2018 |
| First Republic Securities Company, Llc | Newport Beach | CA | 06/2018 | 04/2023 |
| First Republic Investment Management, Inc. | Newport Beach | CA | 06/2018 | 04/2023 |
| Rbc Capital Markets, Llc | Newport Beach | CA | 04/2023 | Present |
| City National Bank | Newport Beach | CA | 04/2023 | Present |
NAME OF ENTITY: Deans Advisory Board, and CIWM Paul Merage School of Business UCI Advisory Board ADDRESS: 4293 Pereira Dr, Irvine, CA 92697 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: University Advisory Board CAPACITY: Other START DATE: 01/01/18 DUTIES: volunteering, 3-4 meetings per year HOURS DEVOTED PER MONTH: 1 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1996-08-29 |
| S63 | Uniform Securities Agent State Law Examination | 1996-07-19 |
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