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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 |
|---|---|---|---|
| CA | RA | APPROVED | 2023-10-05 |
| TX | RA | APPROVED_RES | 2023-10-05 |
Branch Locations
195 N Fairview Ave, Goleta, CA 93117 • United States
1160 Marsh St, Stes 200 & 300 [Lm*/Le-Rbo], San Luis Obispo, CA 93401 • 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 |
|---|---|---|---|---|
| J.P. Morgan Securities Llc | Goleta | CA | 10/2012 | 10/2023 |
| Wells Fargo Clearing Services, Llc | Santa Barbara | CA | 10/2023 | Present |
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2010-04-02 |
| S65 | Uniform Investment Adviser Law Examination | 2010-04-01 |
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