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425 Market Street 17Th Floor, San Francisco, CA 94105 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2022-01-04 |
| AZ | RA | APPROVED | 2021-09-01 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors, Llc | Milwaukee | WI | 03/2016 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Milwaukee | WI | 11/2016 | 02/2017 |
| Charles Schwab & Co., Inc. | Phoenix | AZ | 07/2021 | Present |
| Schwab Wealth Advisory Inc | Phoenix | AZ | 07/2021 | Present |
| Dubuque Bank & Trust/Htlf | Madison | WI | 02/2017 | 06/2021 |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2021-08-28 |
| S63 | Uniform Securities Agent State Law Examination | 1987-03-02 |
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