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1200 Harbor Boulevard, Weehawken, NJ 07086 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2022-09-29 |
Branch Locations
15260 Ventura Boulevard Suite 1800, Sherman Oaks, CA 91403 • 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 | Woodland Hills | CA | 05/2009 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Woodland Hills | CA | 11/2016 | 09/2022 |
| Ubs Financial Services | Sherman Oaks | CA | 09/2022 | Present |
RENTAL PROPERTY; INV RELATED; PARK COUNTY, CO; FOURMILE FISHING CLUB; 50% OWNERSHIP; START 4/13/2016; 0 HOURS PER MONTH, 0 DURING TRADING; NO DUTIES. RENTAL PROPERTY,INVESTMENT RELATED; LOS ANGELES,CA; 25% OWNERSHIP; START DATE 02/08/2019; NUMBER OF HOURS PER MONTH 0; NUMBER OF HOURS DURING TRADING 0; SILENT INVESTOR.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-04-29 |
| S63 | Uniform Securities Agent State Law Examination | 1995-07-27 |
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