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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 |
|---|---|---|---|
| NC | RA | APPROVED | 2026-06-04 |
| TX | RA | APPROVED | 2026-06-04 |
Branch Locations
550 S Tryon St 44Th & 45Th Fls, Charlotte, NC 28202 • United States
1201 Pacific Ave, Tacoma, WA 98402 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Bank, Na | Scottsdale | AZ | 03/2002 | 08/2018 |
| East West Bank | Pasadena | CA | 08/2018 | 12/2019 |
| Cetera Investment Services Llc | St Cloud | MN | 08/2018 | 12/2019 |
| Cetera Investment Advisors Llc | Pasadena | CA | 09/2018 | 12/2019 |
| East West Bank | Pasadena | CA | 08/2018 | 12/2019 |
| Portia Capital Management, Llc | Fort Worth | TX | 09/2020 | 01/2021 |
| Wells Fargo Bank | Charlotte | NC | 09/2022 | Present |
| Wells Fargo Clearing Services | Charlotte | NC | 04/2026 | Present |
| Great Western Bank | Chandler | AZ | 01/2021 | 06/2022 |
| Unemployed | Scottsdale | AZ | 06/2022 | 09/2022 |
| Unemployed | Pasadena | CA | 12/2019 | 09/2020 |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2026-06-15 |
| S63 | Uniform Securities Agent State Law Examination | 2018-10-08 |
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