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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 |
|---|---|---|---|
| CO | RA | APPROVED | 2026-08-25 |
| CA | RA | APPROVED | 2019-03-22 |
| TX | RA | APPROVED_RES | 2019-03-22 |
Branch Locations
3660 State St, Santa Barbara, CA 93105 • United States
Avon, CO • United States
Santa Barbara, CA • 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 |
|---|---|---|---|---|
| Morgan Stanley Private Bank, National Association | New York | NY | 01/2015 | 03/2019 |
| Wells Fargo Clearing Services, Llc | Santa Barbara | CA | 03/2019 | Present |
DB INVESTORS, INV RELATED, SAN LUIS OBISPO, 50% OWNERSHIP, START 4/2/2019, 2 HOURS PER MONTH, ZERO DURING TRADING, HOLDS APARTMENT COMPLEX. AVONDALE APARTMENTS LLC, INV RELATED, SANTA BARBARA, CA, 50% OWNERSHIP, START 10/2/2020, 3 HOURS PER MONTH, ZERO DURING TRADING, HOLDS APARTMENT BUILDING. RENTAL PROPERTY, INV RELATED, NAMPA, ID, 50% OWNERSHIP, START 10/30/2020, 5 HOURS PER MONTH, ZERO DURING TRADING, AVONDALE APARMENT COMPLEX. 428 NORTH CHORRO STREET LLC, INV RELATED, SAN LUIS OBISPO, CA, 50% OWNERSHIP, START 2/15/2018, 4 HOURS PER MONTH, ZERO DURING TRADING, HOLDS RENTAL PROPERTY. RENTAL PROPERTY, INV RELATED, SAN LUIS OBISPO, CA, 50% OWNERSHIP, START 2/15/2018, 4 HOURS PER MONTH, ZERO DURING TRADING, MULIT FAMILY HOUSING UNIT. MULTI RENTAL APARTMENT BUILDING, INVT RELATED, BOISE, ID, 40% OWNERSHIP, START DATE 6/17/2021, 4 HRS PER MONTH, 0 HRS DURING TRADING, PARTIAL OWNER. 2607 LANCASTER, LLC, INVT RELATED, BOISE, ID, 40% OWNERSHIP, START DATE 5/14/2021, 4 HRS PER MONTH, 0 HRS DURING TRADING, PARTIAL INVESTOR. "SWEET PECAN PIE"; NOT INV RELATED; SANTA BARBARA, CA; AUTHOR; 07/2024; 4 HOURS PER MONTH; 4 HOURS DURING TRADING; AUTHOR OF BOOK THAT HAS AN ACCOMPANYING WEBSITE
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2019-08-05 |
| S63 | Uniform Securities Agent State Law Examination | 1985-07-02 |
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