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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 | 2026-02-02 |
| CA | RA | APPROVED | 2022-08-24 |
Branch Locations
2600 El Camino Real W, Mountain View, CA 94040 • United States
301 University Ave 2Nd, 3Rd, & 4Th Fls [Nd-Rbo], Palo Alto, CA 94301 • 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 |
|---|---|---|---|---|
| Wells Fargo Bank N.A | San Ramon | CA | 04/2015 | 11/2017 |
| Jp Morgan Chase Bank | San Leandro | CA | 11/2017 | 06/2019 |
| Jp Morgan Securites Llc | San Leandro | CA | 11/2017 | 06/2019 |
| Hsbc Bank Usa, N.A. | New York | NY | 06/2019 | 04/2020 |
| Hsbc Securities Usa, Inc. | New York | NY | 06/2019 | 04/2020 |
| Wells Fargo Clearing Services, Llc | San Jose | CA | 05/2020 | 08/2021 |
| Wells Fargo Bank, Na | San Jose | CA | 05/2020 | 08/2021 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Redwood City | CA | 09/2021 | 08/2022 |
| Bank Of America N.A. | Redwood City | CA | 09/2021 | 08/2022 |
| Wells Fargo Clearing Services, Llc | San Jose | CA | 08/2022 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2021-04-27 |
| S63 | Uniform Securities Agent State Law Examination | 2018-01-08 |
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