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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 | 2010-12-01 |
| CA | RA | APPROVED | 2007-03-23 |
Branch Locations
888 Prospect St Stes 301 & 320, La Jolla, CA 92037 • 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 Advisors Llc | La Jolla | CA | 05/2009 | 11/2016 |
| Wells Fargo Clearing Services, Llc | La Jolla | CA | 11/2016 | Present |
RENTAL PROPERTY; INV RELATED; LA JOLLA, CA; APARTMENT; 100% OWNERSHIP WITH SPOUSE; START 11/15/2015; 1 HOUR PER MONTH, 0 DURING TRADING; LANDLORD. JEWISH COMMUNITY FOUNDATION OF SAN DIEGO; INVESTMENT RELATED; SAN DIEGO,CA; IMPACT INVESTING SUBCOMMITTEE MEMBER; START 12/1/2019; NUMBER OF HOURS PER MONTH 5; NUMBER OF HOURS DURING TRADING 0; REVIEW PROPOSALS AND RECOMMENDATIONS FROM INVESTMENT MANAGER AND RELAYING TO INVESTMENT COMMITTEE. CONGREGATION DOR HADASH, INV RELATED, SAN DIEGO, CA, ENDOWMENT COMMITTEE MEMBER, START 8/8/2017, 2 HOURS PER MONTH, ZERO DURING TRADING. | RECONSTRUCTING JUDAISM-RECONSTRUCTIONIST RABBINCAL COLLEGE; NOT INV RELATED; WYNCOTE, PA; INVESTMENT COMMITTEE; 01/2015; 3 HOURS PER MONTH; 3 HOURS DURING TRADING; TRAIN RELIGIOUS LEADERS AND OVERSEE MOVEMENT MANAGEMENT OF MEMBER SYNOGOGUES
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1993-12-08 |
| S65 | Uniform Investment Adviser Law Examination | 1993-12-08 |
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