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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2025-05-14 |
| CA | RA | APPROVED | 2025-02-13 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Bank Na | Red Bluff | CA | 03/2011 | Present |
| Wells Fargo Clearing Services Llc | Red Bluff | CA | 09/2017 | 01/2025 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Redding | CA | 01/2025 | Present |
| Bank Of America, N.A. | Redding | CA | 02/2025 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2020-10-29 |
| S63 | Uniform Securities Agent State Law Examination | 2013-09-11 |
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