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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 | 2023-05-31 |
Branch Locations
50 W Fernando St. 15Th Fl, Ste 1500 [Lk/Nh-Rbo], San Jose, CA 95113 • United States
74 River St, Santa Cruz, CA 95060 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Fidelity Brokerage Services Llc | Burlingame | CA | 09/2005 | 06/2017 |
| Td Ameritrade | Walnut Creek | CA | 07/2017 | 05/2023 |
| Charles Schwab & Co., Inc. | Walnut Creek | CA | 03/2022 | 05/2023 |
| Wells Fargo Clearing Services, Llc | San Jose | CA | 05/2023 | Present |
R2 HILLSIDE RANCH; NOT INV. RELATED; APTOS HILLS, CA; CO-OWNER; DISTRIBUTE ALPACA FIBER; START DATE 3/2019; 20 HRS PER MONTH; 0 HRS DURING TRADING; DUTIES: ALPACA RANCHER, CARE FOR HERD.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2006-06-02 |
| S63 | Uniform Securities Agent State Law Examination | 1986-08-27 |
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