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880 Carillon Parkway, St. Petersburg, FL 33716 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| HI | RA | APPROVED | 2025-03-10 |
| TX | RA | APPROVED_RES | 2025-03-06 |
Branch Locations
2999 Oak Road Suite 1030, Walnut Creek, CA 94597 • 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 | Walnut Creek | CA | 05/2009 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Walnut Creek | CA | 11/2016 | 03/2025 |
| Raymond James & Associates Inc. | Kamuela | HI | 03/2025 | Present |
TRUSTEE FOR FRIEND, INVESTMENT RELATED, MARTINEZ, CA, START: 12/2011, 1 HOUR PER MONHT/0 DURING TRADING; RENTAL PROPERTY, INV RELATED, KAMUELA, HI, 100% OWNER, START: 3/2009, 0 HOURS. KOHALA WATERFRONT HOMEOWNERS ASSOCIATION; NOT INVESTMENT RELATED; WAIMEA,HI; BOARD MEMBER; START 11/1/2021; 4 HOURS PER MONTH; ZERO HOURS DURING TRADING; DISCUSS COMMON RULES OF CONSTRUCTION, MAINTENANCE, PLANTING TREES AND PRUNES, FIXING FRONT GATE, AND BUDGETING.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2015-06-04 |
| S63 | Uniform Securities Agent State Law Examination | 1985-09-13 |
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