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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 | 2023-05-22 |
| TX | RA | APPROVED | 2023-05-19 |
Branch Locations
301 University Ave Suite 101, Sacramento, CA 95825 • 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 | Sacramento | CA | 05/2009 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Sacramento | CA | 11/2016 | 05/2023 |
| Wells Fargo Advisors Financial Network, Llc | Sacramento | CA | 05/2023 | Present |
RENTAL PROPERTY; INV RELATED; SACRAMENTO, CA; 100% OWNERSHIP; START 5/1/2010; 2 HOURS DEVOTED PER MONTH; ZERO HOURS DURING TRADING.; THE CATHOLIC FOUNDATION OF THE DIOCESE OF SACRAMENTO INC, INV RELATED, SACRAMENTO, CA, INVESTMENT COMMITTEE MEMBER, START 5/1/2018, 1 HOUR PER MONTH, ZERO DURING TRADING, MONITOR INVESTMENT POLICY AND THE INVESTMENT MANAGERS.; RENTAL PROPERTY, INV RELATED, SAN DIEGO, CA, 100% OWNERSHIP WITH SPOUSE, START 8/1/2018, 2 HOURS PER MONTH, ZERO HOURS DURING TRADING, OWNER.; QUINOLIS INC., INV RELATED, SACRAMENTO, CA, 100% OWNERSHIP WITH SPOUSE, START 1/1/2023, 10 HOURS PER MONTH, FIVE HOURS DURING TRADING, FINET PRACTICE.; SOLIS AND HEARON LLC, INV RELATED, SACRAMENTO, CA, 50% OWNERSHIP, START 1/31/2023, 10 HOURS PER MONTH, FIVE HOURS DURING TRADING, FINET PRACTICE.; CONSERVATOR FOR FATHER, INV RELATED, SACRAMENTO, CA, START: 3/1/2020, 1 HOUR A MONTH, 0 HOURS DURING TRADING. ADMINISTRATOR OF MOTHER'S ESTATE, INVT RELATED, SACRAMENTO, CA, START DATE 12/5/2023, 2 HRS PER MONTH, 2 HRS DURING TRADING.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1995-05-08 |
| S63 | Uniform Securities Agent State Law Examination | 1995-04-26 |
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