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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 | 2024-06-14 |
| CA | RA | APPROVED | 2018-10-25 |
Branch Locations
301 University Ave 2Nd Fl, Palo Alto, CA 94301 • United States
Montara, CA • United States
550 S Winchester Blvd Ste 601, San Jose, CA 95128 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Clearing Services, Llc | Palo Alto | CA | 11/2017 | Present |
| Square Peg Organization | Half Moon Bay | CA | 08/2012 | 01/2018 |
| University Of Berkeley, California | Berkeley | CA | 03/2017 | 10/2017 |
| Dominican University Of Ca | San Rafael | CA | 08/2017 | 08/2018 |
| Dominican Unversity Of California | San Rafael | CA | 08/2017 | 06/2018 |
CANADA COLLEGE, INV RELATED, REDWOOD CITY, CA, INSTRUCTOR, START 3/5/2020, 10 HOURS PER MONTH, ZERO DURING TRADING, FINANCIAL STRATEGIES FOR SUCCESSFUL RETIREMENT. COLLEGE OF SAN MATEO, INV RELATED, SAN MATEO, CA, INSTRUCTOR, START 3/5/2020, 10 HOURS PER MONTH, ZERO DURING TRADING, FINANCIAL STRATEGIES FOR SUCCESSFUL RETIREMENT. DE ANZA COLLEGE, INV RELATED, CUPERTINO, CA, INSTRUCTOR, START 01/01/2026, 24 HOURS PER MONTH, ZERO DURING TRADING, FINANCIAL STRATEGIES FOR SUCCESSFUL RETIREMENT. GREEN ACRES RANCH AND WEDDING VENUE LLC, NOT INV RELATED, MONTARA, CA, 50% OWNERSHIP, START 5/1/2023, 4 HOURS PER MONTH, ZERO HOURS DURING TRADING, WEDDING AND EVENT VENUE OPERATIONS. ORANGETHEORY FITNESS PACIFICA; NOT INV. RELATED; PACIFICA, CA; COACH/PERSONAL TRAINER; START 5/29/2023; 40 HRS PER MONTH; 28 HRS DURING TRADING; DUTIES: COACH CLASSES. SAN MATEO COMMUNITY COLLEGE; INV RELATED; SAN MATEO, CA; TO EDUCATE THE COMMUNITY; INSTRUCTOR; START DATE: 01/01/2026; 24 HRS PER MONTH; 0 HRS DURING TRADING; FINANCIAL STRATEGIES FOR SUCCESSFUL RETIREMENT| DE ANZA COMMUNITY COLLEGE; INV RELATED; CUPERTINO, CA; TO EDUCATE THE COMMUNITY; INSTRUCTOR; START DATE: 12/01/2025; 40 HRS PER MONTH; 40 HRS DURING TRADING; |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2018-10-25 |
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