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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 | 2020-12-07 |
| TX | RA | APPROVED_RES | 2020-12-04 |
Branch Locations
770 Tamalpais Dr Ste 400, Corte Madera, CA 94925 • 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 |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith, Inc. | Mill Valley | CA | 09/2011 | 12/2020 |
| Bank Of America, N.A. | Mill Valley | CA | 10/2011 | 12/2020 |
| Wells Fargo Clearing Services, Llc | San Rafael | CA | 12/2020 | Present |
WATTS DEVELOPMENT, LLC; NOT INVESTMENT RELATED; ATLANTA,GA; 50% OWNERSHIP; START DATE 01/01/2008; NUMBER OF HOURS PER MONTH 1; NUMBER OF HOURS DURING TRADING 0; HOLDS REAL ESTATE. RENTAL PROPERTY; INVESTMENT RELATED; ATLANTA,GA; 50% OWNERSHIP; START DATE 01/01/2009; NUMBER OF HOURS PER MONTH 1; NUMBER OF HOURS DURING TRADING 0; OWNER.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1998-04-02 |
| S63 | Uniform Securities Agent State Law Examination | 1995-02-24 |
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