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270 Park Avenue, New York, NY 10017 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2022-08-08 |
| TX | RA | APPROVED | 2022-08-08 |
Branch Locations
2931 Townsgate Road, Westlake Village, CA 91361 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Bank Na | Santa Cruz | CA | 04/2013 | 10/2019 |
| Wells Fargo Advisors Llc | Santa Cruz | CA | 07/2014 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Santa Cruz | CA | 11/2016 | 10/2019 |
| Jpmorgan Chase Bank, N.A. | Westlake Village | CA | 06/2022 | Present |
| J.P. Morgan Securities Llc | Westlake Village | CA | 06/2022 | Present |
| Santa Cruz County Bank | Santa Cruz | CA | 10/2019 | 06/2022 |
| Harvard Club Of Santa Barbara | Goleta | CA | 01/2023 | 10/2024 |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2022-06-24 |
| S65 | Uniform Investment Adviser Law Examination | 2018-11-09 |
| S63 | Uniform Securities Agent State Law Examination | 2014-09-10 |
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