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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 | 2016-11-03 |
| CA | RA | APPROVED | 2011-01-03 |
Branch Locations
961 Palomar Airport Rd, Carlsbad, CA 92011 • United States
145 N Escondido Blvd, Escondido, CA 92025 • United States
5800 Armada Dr Ste 300, Carlsbad, CA 92008 • United States
16975 Avenida De Acacias Ste 606 [Xk-Rbo], Rancho Santa Fe, CA 92067 • United States
2 disclosure categories 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 | Carlsbad | CA | 01/2011 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Carlsbad | CA | 11/2016 | Present |
HENDO'S BREWING & SPIRITS, LLC; NON INV RELATED; TEMECULA, CA; RESTAURANT & BREWERY; 2.13% OWNER; START: 1/25/19; 2 HRS/MO; 0 DURING TRADING.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1998-04-15 |
| S63 | Uniform Securities Agent State Law Examination | 1990-12-19 |
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