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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 | 2018-03-29 |
| CA | RA | APPROVED | 2018-03-02 |
Branch Locations
5060 California Ave 11Th Fl [Lq-Rbo], Bakersfield, CA 93309 • United States
Bakersfield, CA • United States
5060 California Ave 11Th Fl, Bakersfield, CA 93309 • 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 |
|---|---|---|---|---|
| Ubs Financial Services Inc | Bakersfield | CA | 07/2006 | 03/2018 |
| Wells Fargo Clearing Services, Llc | Bakersfield | CA | 03/2018 | Present |
PHOTOGRAPHY BY JAY ERICSSON, NOT INV RELATED, BAKERSFIELD, CA, 100% OWNERSHIP, START 7/23/2012, 2 HOURS PER MONTH, ZERO DURING TRADING, SCENIC PHOTOGRAPHER.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1996-07-11 |
| S63 | Uniform Securities Agent State Law Examination | 1986-07-10 |
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