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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 | 2016-10-27 |
| CA | RA | APPROVED | 2002-05-03 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | Pasadena | CA | 05/2009 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Pasadena | CA | 11/2016 | Present |
THE OAKS HOMEOWNERS ASSOCIATION, NON INVESTMENT-RELATED, BOARD MEMBER & TREASURER, START: 4/1/03, 1.5 HRS/MO, 0 DURING TRADING, DUTIES: COLLECT DUES, WRITE CHECKS & MAKE DEPOSITS. RENTAL PROPERTY, INV-RELATED, LOS ANGELES, CA, 100% OWNERSHIP, START: 1/1/1999, 1 HR/MO, 0 DURING TRADING.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-12-04 |
| S63 | Uniform Securities Agent State Law Examination | 1982-09-03 |
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