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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 | 2025-04-30 |
Branch Locations
3660 State St [Lh-Rbo], Santa Barbara, CA 93105 • United States
101 Federal Pl Ste 101 [Regional Supervision], Tarpon Springs, FL 34689 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Jp Morgan Securities Llc | Santa Barbara | CA | 01/2016 | 07/2018 |
| Jp Morgan Chase Bank | Santa Barbara | CA | 01/2016 | 07/2018 |
| Mufg Union Bank | Goleta | CA | 07/2018 | 04/2022 |
| Unionbanc Investment Services | Goleta | CA | 08/2018 | 04/2022 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Westlake Village | CA | 04/2022 | 04/2025 |
| Wells Fargo Securities | Santa Barbara | CA | 04/2025 | Present |
| Wells Fargo Bank | Santa Barbara | CA | 04/2025 | Present |
I*1306263 For profit or not for profit: Entity Charitable Name of outside business organization: Hearts Aligned Inc. Investment related: N Address of business: OBA, OBA, OBA Nature of business: ["Charitable Organization"] Position, title, association: ["Board Member"], Start date of relationship: 6/15/2023 Number of hours devoted: 5 hour(s) Monthly Number of hours devoted during trading hours: 2 Duties: , Provides financial assistant to low income families that have children currently admitted or recently discharged from pediatric intensive care unit or neonatal intensive care unit. I will be a Board member providing support on stategy, fundraising, and volunteer hours.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2014-07-10 |
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