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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 | 2023-08-09 |
| NJ | RA | APPROVED | 2010-08-31 |
Branch Locations
767 Fifth Ave 33Rd Fl, New York, NY 10153 • United States
101 Federal Pl Ste 101 [Regional Supervision], Tarpon Springs, FL 34689 • United States
New York, NY • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | New York | NY | 05/2010 | 11/2016 |
| Wachovia Bank, N.A. | New York | NY | 07/1997 | Present |
| Wells Fargo Clearing Services, Llc | New York | NY | 11/2016 | Present |
RENTAL PROPERTY; INVESTMENT RELATED; SAN FRANCISCO, CA; 100% OWNERSHIP; CONDO; START 6/2007; 5 HRS MONTH; 0 HRS DURING TRADING.| CO-TRUSTEE FOR FATHER; INV RELATED; DANVILLE, CA; START 2/16/2018; 10 HRS/MO; 0 DURING TRADING.| EXECUTOR FOR MOTHER; INV RELATED; DANVILLE, CA; START 6/18/2018; 10 HRS/MO; 0 DURING TRADING.| 605-611 WEST 111TH STREET REATY CORP HOA, NOT INVT RELATED, BOARD MEMBER, START DATE 6/7/2023, 6 HRS PER MONTH, 0 HRS DURING TRADING, ATTENDING MEETINGS DISCUSSING AND MANAGING THE FINANCIAL AND ADMINISTRATION OF THE BUILDING, FINANCIAL/BUDGET PLANNING, IMPROVEMENT PROJECTS, WINDOW OR LAUNDRY ROOM UPGRADES, HOMEOWNER PURCHASES/SALES, RENOVATIONS, COMMUNITY ISSUES RELEVANT TO THE UPPER WEST SIDE, AND ACTING AS AN ACTIVE PARTICIPANT IN ONGOING EMAIL COMMUNICATION REGARDING ANY OF THE TOPICS AT HAND.|
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2010-08-30 |
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