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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 |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2026-06-22 |
| CA | RA | APPROVED | 2025-02-06 |
Branch Locations
888 Prospect St, La Jolla, CA 92037 • United States
One North Jefferson Avenue H0004-05C, St. Louis, MO 63103 • UNITED STATES
One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2023-09-13 |
Branch Locations
One North Jefferson Avenue Mail Code: H0004-05G, St. Louis, MO 63103 • UNITED STATES
888 Prospect St Stes 301 & 320, La Jolla, CA 92037 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Clearing Services Llc | San Diego | CA | 09/2017 | Present |
| Keller Williams Realty | San Diego | CA | 02/2016 | 09/2017 |
WHOLESALE SHADE, NOT INV RELATED, SAN MARCOS, CA, 100% OWNERSHIP WITH SPOUSE, START 9/9/2000, 10 HOURS PER MONTH, ZERO DURING TRADING, EVENT PLANNER FOR HUSBANDS CUSTOM SHADE SAILS BUSINESS.; CA REAL ESTATE LICENSE, INV RELATED, START: 11/01/2017, 0 HRS/MONTH, 0 HRS DURING TRADING.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2023-09-13 |
| S63 | Uniform Securities Agent State Law Examination | 2017-12-22 |
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