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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2021-02-12 |
| CA | RA | APPROVED | 2021-01-22 |
Branch Locations
300 Town Ctr E, Santa Maria, CA 93454 • United States
200 W Branch St, Arroyo Grande, CA 93420 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Bank Na | Santa Maria | CA | 09/2013 | 01/2021 |
| Wells Fargo Clearing Services Llc | Santa Maria | CA | 03/2017 | 01/2021 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Arroyo Grande | CA | 01/2021 | Present |
| Bank Of America, N.A. | Arroyo Grande | CA | 03/2021 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2020-11-23 |
| S63 | Uniform Securities Agent State Law Examination | 2018-04-11 |
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