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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2017-09-20 |
| CA | RA | APPROVED | 2017-09-08 |
Branch Locations
3010 Old Ranch Parkway Suite 470, Seal Beach, CA 90740-2760 • United States
Cerritos, CA • 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 |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | Seal Beach | CA | 05/2009 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Seal Beach | CA | 11/2016 | 09/2017 |
| Rbc Capital Markets, Llc | Long Beach | CA | 09/2017 | Present |
(1) BARRY J MILLER TRUSTS; ADDRESS: PERSONAL ADDRESS; BUSINESS DESCRIPTION: CHARITABLE REMAINDER TRUST; INVESTMENT RELATED; START DATE: 1991; CAPACITY: TRUSTEE, DUTIES: TRUSTEE OF A DECEASED CLIENT'S ESTATE; HOURS DEVOTED TO THIS OBA PER MONTH: 10; HOURS DEVOTED DURING TRADING PER MONTH: 3 (2) BARRY L. MILLER MARITAL TRUST; ADDRESS: PERSONAL ADDRESS; BUSINESS DESCRIPTION: QTIP TRUST; NOT INVESTMENT RELATED; START DATE: 02/01/1989; CAPACITY: TRUSTEE; DUTIES: GENERAL OVERSIGHT; HOURS DEVOTED PER MONTH: <1; HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: NONE
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1992-11-17 |
| S63 | Uniform Securities Agent State Law Examination | 1983-11-14 |
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