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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 | 2020-06-24 |
| TX | RA | APPROVED_RES | 2020-06-24 |
Branch Locations
3660 State St, Santa Barbara, CA 93105 • United States
Solvang, CA • 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. | Santa Barbara | CA | 10/1996 | 06/2020 |
| Wells Fargo Clearing Services, Llc | Santa Barbara | CA | 06/2020 | Present |
RENTAL PROPERTY; INV RELATED; SANTA BARBARA, CA; 75% OWNERSHIP; START DATE 3/1/2024; 12 HOURS PER MONTH; 0 DURING TRADING; CO-OWNER.| SANTA BARBARA YACHT CLUB WOMEN'S FOUNDATION; NOT INV RELATED; SANTA BARBARA, CA; PROVIDE SCHOLARSHIPS TO UNDERPRIVILAGE CHILDREN, TREASURER; START DATE 02/01/2025; 1 HOUR PER MONTH; 0 HOURS DURING TRADING
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1997-03-04 |
| S65 | Uniform Investment Adviser Law Examination | 1997-01-09 |
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