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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 | 2013-02-06 |
| CA | RA | APPROVED | 2010-11-05 |
Branch Locations
5 Park Plz 19Th & 20Th Fls, Irvine, CA 92614 • 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 | Irvine | CA | 11/2010 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Irvine | CA | 11/2016 | Present |
FINRA; NOT INVESTMENT RELATED; NEW YORK, NY; DISPUTE RESOLUTION; ARBITRATOR; START DATE = 01/10/2006; ONE HOUR PER MONTH DEVOTED; NOT DURING TRADING HOURS.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1992-07-02 |
| S65 | Uniform Investment Adviser Law Examination | 1992-06-16 |
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