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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 | 2019-06-13 |
| TX | RA | APPROVED | 2019-06-12 |
Branch Locations
5060 California Ave 11Th Fl, Bakersfield, CA 93309 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc | Bakersfield | CA | 10/2008 | 06/2019 |
| Wells Fargo Clearing Services, Llc | Bakersfield | CA | 06/2019 | Present |
1)CA STATE UNIVERSITY, NOT INV RELATED, BAKERSFIELD, CA, INVESTMENT MANAGEMENT & ANALYSIS, START 1/22/2018, 12 HOURS PER MONTH, ZERO DURING TRADING, FINANCE INSTRUCTOR 2)ESTATE PLANNING COUNCIL, NOT INV RELATED, BAKERSFIELD, CA, BOARD OF DIRECTORS, START 7/1/2022, 2 HOURS PER MONTH, ZERO DURING TRADING, ATTENDING MEETINGS, VOTING, ADVISING ON POTENTIAL NEW MEMBERS, CHANGES IN BY-LAWS, SPEAKERS, AND PRESENTATIONS FOR DISSEMINATION OF INFORMATION REGARDING ESTATE PLANNING
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1998-04-03 |
| S63 | Uniform Securities Agent State Law Examination | 1986-09-03 |
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