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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 | 2022-02-02 |
| CA | RA | APPROVED | 2011-01-03 |
Branch Locations
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 | Roseville | CA | 01/2011 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Roseville | CA | 11/2016 | Present |
GUNNERSFIELD ENTERPRISES, NOT INV RELATED, MAXWELL, CA, 5% OWNER, SECRETARY, START: 8/15/2018, .1 HOUR PER MONTH/0 DURING TRADING, DUTIES ATTEND ANNUAL BOARD MEETING FOR FAMILY OWNED AGRICULTURAL PROPERTY. CO-TRUSTEE FOR NIECE; INV RELATED; ROSEVILLE, CA; START: 3/24/17; 2 HRS/MO; 1 DURING TRADING. CO-TRUSTEE FOR NEPHEW; INV RELATED; ROSEVILLE, CA; START: 3/24/17; 2 HRS/MO; 1 DURING TRADING.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1996-05-31 |
| S63 | Uniform Securities Agent State Law Examination | 1995-08-31 |
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