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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 | 2025-12-10 |
| TX | RA | APPROVED | 2025-12-09 |
Branch Locations
50 W Fernando St. 15Th Fl, Ste 1500 [Lk/Nh-Rbo], San Jose, CA 95113 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | San Jose | CA | 07/2021 | 12/2025 |
| Macys | Santa Clara | CA | 09/2016 | 03/2017 |
| Nordstrom | San Jose | CA | 04/2017 | 05/2018 |
| Check N Go | San Jose | CA | 07/2018 | 05/2020 |
| Tech Cu | San Jose | CA | 06/2020 | 07/2021 |
| J&J Prime Delivery | Fremont | CA | 09/2020 | 01/2021 |
| Bank Of America, N.A. | San Jose | CA | 03/2023 | 12/2025 |
| Wells Fargo Clearing Services, Llc | San Jose | CA | 12/2025 | Present |
NOT BY SIGHT APPAREL, LLC; NOT INV RELATED; SAN JOSE, CA; RETAIL CLOTHING COMPANY; 25% OWNERSHIP; 04/27/2026; 4 HOURS PER MONTH; 0 DURING TRADING; RETAIL CLOTHING COMPANY
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2023-04-21 |
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