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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2023-01-18 |
| CA | RA | APPROVED | 2020-01-07 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Bank | Newport Beach | CA | 08/2009 | 01/2020 |
| Wells Fargo Advisors Llc | Newport Beach | CA | 01/2011 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Newport Beach | CA | 11/2016 | 01/2020 |
| Oak Valley Community Bank | Modesto | CA | 01/2020 | Present |
| Cetera Investment Services Llc | St Cloud | MN | 01/2020 | Present |
| Cetera Investment Advisers Llc | Modesto | CA | 01/2020 | Present |
1. ESTATE PLANNING GROUP OF STANISLAUS COUNTY, DIRECTOR, VOTE ON COUNCIL BUSINESS INCLUDING PLANNING EVENTS / GUEST SPEAKERS & MEMBERSHIP 2. BOARDMEMBER AT CALVARY CHURCH FOUNDATION; MEET MONTHLY AND REVIEW ANY REQUESTS FOR FUNDS THAT COULD BE USED TO SUPPORT CHURCH; EDUCATE POTENTIAL DONOARS ON HOW THE FOUNDATION WORKS AND METHODS OF CHARITABLE GIVING; 2 HRS/WK
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2020-06-01 |
| S63 | Uniform Securities Agent State Law Examination | 2010-05-18 |
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