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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 |
|---|---|---|---|
| HI | RA | APPROVED | 2020-05-19 |
| CA | RA | APPROVED | 2003-06-16 |
| TX | RA | APPROVED_RES | 1994-01-14 |
Branch Locations
301 University Ave 2Nd Fl, Palo Alto, CA 94301 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | Palo Alto | CA | 05/2009 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Palo Alto | CA | 11/2016 | Present |
GSPLAC LLC, INV RELATED, PALO ALTO, CA, 100% OWNERSHIP WITH SPOUSE, START 2/1/2014, 1 HOUR PER MONTH, ZERO DURING TRADING, MANAGE RENTAL PROPERTY. RENTAL PROPERTY, INV. RELATED, PALO ALTO, CA - 100% OWNERSHIP - START: 11/11/2013, 2 HOURS/MONTH, 0 DURING TRADING, CONDO ROOM RENTAL. CO-TRUSTEE OF DAUGHTER'S TRUST; INV. RELATED; PALO ALTO, CA; START DATE 12/2015; 1 HR PER MONTH; 1 HR DURING TRADING. TRUSTEE FOR OWN/SPOUSE'S TRUST; INV. RELATED; PALO ALTO, CA; START DATE 1/1982; 1 HR PER MONTH; 1 HR DURING TRADING.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1995-02-08 |
| S63 | Uniform Securities Agent State Law Examination | 1981-01-09 |
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