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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2022-09-14 |
| CA | RA | APPROVED | 2022-06-28 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Bank Na | San Jose | CA | 07/2010 | 10/2020 |
| Wells Fargo Advisors Llc | San Jose | CA | 01/2013 | 11/2016 |
| Wells Fargo Clearing Services, Llc | San Jose | CA | 11/2016 | 10/2020 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | San Jose | CA | 10/2020 | Present |
| Bank Of America, N.A. | San Jose | CA | 07/2022 | Present |
I*3198284 Entity Type: Entity Charitable Name of OBA: Rotary Foundation Board Address: San Jose, California, 95112 Investment Related: No Position, Title, Association: Board Member Employee Start Date: 07/01/2026 Number of Hours: 1, Monthly Number of Hours during trading: 1, Monthly Duties: The Rotary Club of San Jose is a service organization to the local community helping in a variety of ways to those in need. Being a Member of the Rotary Foundation Board has the responsibility of guiding the Rotary to make sure that the club is doing what it is meant to do. To give my thoughts on how the Rotary club will spend its time in meaningful and impactful service activities. To have a voice that the projects that we are setting forth on through the Club are done for the right reasons
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2022-06-25 |
| S63 | Uniform Securities Agent State Law Examination | 2013-03-12 |
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