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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 | 2017-03-30 |
| CA | RA | APPROVED | 2009-02-18 |
Branch Locations
520 Newport Center Dr Ste 1700, Newport Beach, CA 92660 • 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 | Present |
POWER OF ATTORNEY FOR SISTER, INV RELATED, NEWPORT, BEACH, CA, START: 3/2013, 0 HRS/MONTH, 0 HRS DURING TRADING.; PERSONAL REPRESENTATIVE FOR SISTER, INV RELATED, NEWPORT BEACH, CA, START: 09/24/2013, 0 HRS/MONTH, 0 HRS DURING TRADING.; TRUSTEE FOR SISTER'S TRUST, INV RELATED, NEWPORT BEACH, CA, START: 10/18/2019, 5 HRS/MONTH, 0 HRS DURING TRADING. RJ BEACH HOUSE, LLC, INVT RELATED, NEWPORT BEACH, CA, 34% OWNERSHIP, START DATE 2/27/2020, 2 HRS PER MONTH, 0 HRS DURING TRADING, MANAGING DIRECTOR. RENTAL PROPERTY, INV RELATED, NEWPORT BEACH, CA, 34% OWNERSHIP, START 10/1/24, 1 HR PER MONTH, 0 HRS DURING TRADING, LANDLORD;
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1996-01-12 |
| S63 | Uniform Securities Agent State Law Examination | 1996-01-05 |
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