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Current Employers
Wells Fargo Advisors Financial Network, Llc

One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2026-04-27
CA RA APPROVED 2026-04-23
  • TX RA
    APPROVED_RES
    Since 2026-04-27
  • CA RA
    APPROVED
    Since 2026-04-23

Branch Locations

200 N Westlake Blvd Ste 202, Westlake Village, CA 91362 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Wells Fargo Advisors Llc Westlake Village CA 05/2009 11/2016
Wells Fargo Clearing Services, Llc Westlake Village CA 11/2016 04/2026
Wells Fargo Advisors Financial Network, Llc Westlake Village CA 04/2026 Present
Previous Registrations
  • 2003-07-01 → 2026-04-23
    Westlake Village, CA
    Westlake Village, CA
  • 1989-01-30 → 2003-07-01
    Prudential Equity Group, Llc
    Westlake, CA
Other Businesses

RENTAL PROPERTY; INV RELATED; CARMARILLO, CA; OWNER; 0 HOURS PER MONTH; LANDLORD. RENTAL PROPERTY; INV RELATED; WESTLAKE VILLAGE, CA; 0 HOURS PER MONTH; LANDLORD. CITY OF THOUSAND OAKS CITY COUNCIL; NOT INV RELATED; THOUSAND OAKS, CA; COUNCILMEMBER; START 4/2018; 35 HOURS PER MONTH, 0 DURING TRADING; DUTIES: ATTENDING MEETINGS AND SETTING POLICIES. CITY OF THOUSAND OAKS CITY COUNCIL; NOT INV RELATED; THOUSAND OAKS, CA; FINANCE/AUDIT COMMITTEE MEMBER; START 4/2018; 3 HOURS PER MONTH, 0 DURING TRADING; DUTIES: ATTENDING METINGS AND REVIEWING BUDGET FOR VARIOUS DEPARTMENT AND AUDIT ISSUES. CITY OF THOUSAND OAKS CITY COUNCIL; NOT INV RELATED; THOUSAND OAKS, CA; CAMPUS MASTER PLAN COMMITTEE MEMBER; START 4/2018; 3 HOURS PER MONTH, 0 DURING TRADING; DUTIES: ATTENDING METINGS AND ANALYZING POSSIBLE IMPROVEMENTS TO EXISTING DOWNTOWN AREA. CITY OF THOUSAND OAKS CITY COUNCIL; NOT INV RELATED; THOUSAND OAKS, CA; MAYOR; START 12/12/2023; 20 HOURS PER MONTH, 0 DURING TRADING; DUTIES: ATTENDING BIMONTHLY MEETINGS AND SETTING POLICIES. ADAM CAPITAL MANAGEMENT S CORP 100% OWNERSHIP; INV RELATED;WESTLAKE VILLAGE,CA;, midExecutor/Personal Representative START DATE: 07/17/2026; 1 HRS PER MONTH; 0 HRS DURING TRADING;

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1996-08-07
S63 Uniform Securities Agent State Law Examination 1986-11-05
  • S65 Uniform Investment Adviser Law Examination
    1996-08-07
  • S63 Uniform Securities Agent State Law Examination
    1986-11-05
Other Names
  • Albert Conrad Adam

View on SEC IAPD

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