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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
FL RA APPROVED 2024-04-22
CA RA APPROVED 2024-04-19
TX RA APPROVED 2024-04-19
  • FL RA
    APPROVED
    Since 2024-04-22
  • CA RA
    APPROVED
    Since 2024-04-19
  • TX RA
    APPROVED
    Since 2024-04-19

Branch Locations

25 Orinda Way Suite 308, Orinda, CA 94563 • 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 Walnut Creek CA 05/2012 11/2016
Wells Fargo Clearing Services, Llc Walnut Creek CA 11/2016 04/2024
Wells Fargo Advisors Financial Network, Llc Orinda CA 04/2024 Present
Previous Registrations
Other Businesses

MS CAPITAL PARTNERS EMPLOYEE LP, INV-REL, NEW YORK, NY, LESS THAN 1% OWNERSHIP, START 7/17/2008, 0 HRS/MO 0 DURING TRADING.; DCC VENTURES, LLC; INV RELATED; SANTA ROSA BEACH, CA; 100% OWNERSHIP; START 7/1/2015; 1 HOUR PER MONTH, 0 DURING TRADING; OWNER, NO DUTIES AS HANDLED BY PROPERTY MANAGER.; SUNNYSIDE WATER SPORTS; NOT INV. RELATED; TAHOE CITY,CA; 15% OWNERSHIP WITH SPOUSE; START 1/1/2020; NUMBER OF HOURS PER MONTH 0; NUMBER OF HOURS DURING TRADING 0; WATERCRAFT RENTALS.; QUIN OAKS INVESTMENT GROUP, LLC; INV RELATED; ORINDA, CA; 50% OWNERSHIP; START 12/19/2023; 4 HOURS PER MONTH; 0 HOURS DURING TRADING, FINET PRACTICE.; RENTAL PROPERTY, INV RELATED, ORINDA, CA, 100% OWNERSHIP BY TRUST, START 11/01/2023, 0 HOURS PER MONTH, ZERO HOURS DUIRNG TRADING.; DPC CAPITAL LLC, INV RELATED, ORINDA, CA, 100% OWNERSHIP, START 12/19/2023, 4 HOURS PER MONTH, ZERO HOURS DURING TRADING, FINET PRACTICE.; RENTAL PROPERTY (27081); INV RELATED; DANA POINT, CA; 50% OWNERSHIP; START: 11/15/2024; 1 HOUR A MONTH; 0 HOURS DURING TRADING; RESIDENTIAL RENTAL PROPERTY.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-08-18
S63 Uniform Securities Agent State Law Examination 1983-04-29
  • S65 Uniform Investment Adviser Law Examination
    1999-08-18
  • S63 Uniform Securities Agent State Law Examination
    1983-04-29

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