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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 |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2016-10-20 |
| CA | RA | APPROVED | 2011-06-13 |
Branch Locations
333 S Grand Ave 12Th Fl [Yk-Rbo], Los Angeles, CA 90071 • United States
333 S Grand Ave 12Th Fl, Los Angeles, CA 90071 • United States
90034, 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 | Los Angeles | CA | 06/2011 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Los Angeles | CA | 11/2016 | Present |
TRUSTEE FOR FRIEND, INVESTMENT RELATED, LOS ANGELES, CA, TRUSTEE, 7/5/89 10 HOURS PER MONTH, NONE DURING SECURITIES TRADING HOURS. RENTAL PROPERTY; INVESTMENT RELATED; RIVERSIDE, CA; 100% OWNERSHIP WITH SPOUE; START DATE 12/1982; 0 HRS PER MONTH.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-10-25 |
| S63 | Uniform Securities Agent State Law Examination | 1984-07-10 |
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