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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 | 2023-11-27 |
| CA | RA | APPROVED | 2022-11-07 |
Branch Locations
1551 N Tustin Ave Ste 100, Santa Ana, CA 92705 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors | Irvine | CA | 10/2012 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Irvine | CA | 11/2016 | 11/2022 |
| Wells Fargo Advisors Financial Network, Llc | Irvine | CA | 11/2022 | Present |
PTI SAND AND GRAVEL INC., NOT INV RELATED, LAKE ELSINORE, CA, 100% OWNERSHIP WITH SPOUSE, START 5/1/2008, 1 HOUR PER MONTH, ZERO DURING TRADING, OWNER AND BOARD MEMBER. GENERAL AGGREGATE SUPPLY INC; NOT INV RELATED; ORANGE, CA; 100% OWNERSHIP WITH SPOUSE; START 8/1/1987; 1 HOUR PER MONTH; 0 DURING TRADING, FREIGHT BROKER/PARTIAL OWNER. JAEJ GROUP, LLC, INVT RELATED, IRVINE, CA, 25% OWNERSHIP, START DATE 9/20/2022, 4 HRS PER MONTH, 0 HRS DURING TRADING, FINET PRACTICE. CMBL GROUP INC, INVT RELATED, ORANGE, CA, 100% OWNERSHIP, START DATE 9/20/2022, 4 HRS PER MONTH,0 HRS DURING TRADING, FINET PRACTICE.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1992-11-13 |
| S63 | Uniform Securities Agent State Law Examination | 1986-11-05 |
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