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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 |
|---|---|---|---|
| CA | RA | APPROVED | 2014-09-24 |
Branch Locations
3059 Townsgate Rd 4Th Fl, Ste 400, Westlake Village, CA 91361 • 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 | Westlake Village | CA | 09/2014 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Westlake Village | CA | 11/2016 | Present |
WARREN E&P INC., INV RELATED, DALLAS, TX, 100% OWNERSHIP BY TRUST, START 4/10/2016, ZERO HOURS PER MONTH, ZERO DURING TRADING, OIL AND GAS ROYALTIES. RENTAL PROPERTY, INVT RELATED, VENTURA, CA, 100% OWNERSHIP WITH SPOUSE, START DATE 7/1/2019, 0 HRS PER MONTH, 0 HRS DURING TRADING
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2007-12-10 |
| S63 | Uniform Securities Agent State Law Examination | 1985-12-14 |
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