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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 |
|---|---|---|---|
| CA | RA | APPROVED | 2024-06-05 |
Branch Locations
3059 Townsgate Rd 4Th Fl/Ste 400 [Ld-Rbo], Westlake Village, CA 91361 • 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 Na | Northridge | CA | 08/2014 | 04/2023 |
| Wells Fargo Clearing Services Llc | Chatsworth | CA | 04/2018 | 05/2021 |
| Wells Fargo Clearing Services, Llc | Northridge | CA | 08/2021 | 04/2023 |
| Lpl Financial Llc | Valencia | CA | 07/2023 | 05/2024 |
| Logix Federal Credit Union | Valencia | CA | 05/2023 | 05/2024 |
| Wells Fargo Clearing Services, Llc | Northridge | CA | 06/2024 | Present |
| Wells Fargo Bank, Na | Northridge | CA | 05/2024 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2021-12-02 |
| S63 | Uniform Securities Agent State Law Examination | 2018-08-13 |
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