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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 | 2019-08-16 |
| TX | RA | APPROVED | 2019-08-15 |
Branch Locations
520 Newport Center Dr Ste 1700, Newport Beach, CA 92660 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Bank, Na | Houston | TX | 12/2017 | 08/2018 |
| Wells Fargo Clearing Services, Llc | Houston | TX | 01/2018 | 08/2018 |
| Charles Schwab & Co., Inc. | Houston | TX | 04/2016 | 09/2017 |
| Charles Schwab Bank | Houston | TX | 10/2015 | 09/2017 |
| Unemployed | Houston | TX | 10/2017 | 12/2017 |
| Wells Fargo Clearing Services, Llc | Newport Beach | CA | 08/2019 | Present |
| Wells Fargo Bank | Seal Beach | CA | 08/2018 | 08/2019 |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2013-12-06 |
| S63 | Uniform Securities Agent State Law Examination | 2013-11-11 |
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