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53 State Street 28Th Floor, Boston, MA 02109 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2026-05-12 |
Branch Locations
75 N. Fair Oaks Ave, Pasadena, CA 91103 • United States
8540 Colonnade Center Drive, Raleigh, NC 27615-3052 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2023-01-12 |
Branch Locations
75 N. Fair Oaks Ave Suite 400, Pasadena, CA 91103 • United States
128 S Tryon Street, Charlotte, NC 28202 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | Pasadena | CA | 01/2011 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Pasadena | CA | 11/2016 | 05/2022 |
| First Citizens Investor Services | Raleigh | NC | 11/2022 | Present |
| Unemployed | Pasadena | CA | 05/2022 | 11/2022 |
| First Citizens Bank | Pasadena | CA | 11/2022 | Present |
| Svb Wealth | Pasadena | CA | 05/2026 | Present |
| Svb Wealth | Pasadena | CA | 08/2024 | Present |
SVB WEALTH POSITION: Employee NATURE: N/A INVESTMENT RELATED: Yes NUMBER OF HOURS: 8 SECURITIES TRADING HOURS: 140 START DATE: 08/23/2024 ADDRESS: 75 N. Fair Oaks, Pasadena CA 91103, United States DESCRIPTION: SVB Wealth is an affiliated IA Firm
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1997-04-11 |
| S63 | Uniform Securities Agent State Law Examination | 1996-05-31 |
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