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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 | 2021-12-12 |
| CA | RA | APPROVED | 2021-12-02 |
Branch Locations
26135 Carmel Rancho Blvd Ste E-200, Carmel, CA 93923 • 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 |
|---|---|---|---|---|
| Charles Schwab & Co., Inc. | Carmel | CA | 10/2015 | 04/2018 |
| Charles Schwab Bank | Carmel | CA | 10/2015 | 04/2018 |
| Hilltop Securities Inc. | Monterey | CA | 04/2018 | 09/2020 |
| Lpl Financial, Llc | Santa Ana | CA | 09/2020 | 10/2021 |
| Golden State Wealth Management | Salinas | CA | 09/2020 | 10/2021 |
| Wells Fargo Clearing Services, Llc | Carmel | CA | 10/2021 | Present |
ANIMAL WELFARE ASSISTANCE GROUP, NOT INVT RELATED, MONTEREY, CA, BOARD OF DIRECTORS, START DATE 4/1/2015, 2 HRS PER MONTH, 0 HRS DURING TRADING, ATTENDING MEETINGS, RENEW GRANTS WITH EXISTING ORGANIZATIONS AND ALSO REVIEW FINANCIALS WITH THE GRANT.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2009-10-23 |
| S63 | Uniform Securities Agent State Law Examination | 1995-08-24 |
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