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Current Employers
Wells Fargo Clearing Services, Llc

One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2003-07-01
  • CA RA
    APPROVED
    Since 2003-07-01

Branch Locations

1880 Tice Valley Blvd, Walnut Creek, CA 94595 • United States

4900 Hopyard Rd Ste 105 [Yo-Rbo], Pleasanton, CA 94588 • United States

4309 Hacienda Drive Ste 300, Pleasanton, CA 94588 • United States

2033 N Main Street 9Th Floor [Wz-Rbo], Walnut Creek, CA 94596 • United States

2033 N Main St Ste 800, Walnut Creek, CA 94596 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Wells Fargo Advisors Llc San Francisco CA 05/2009 11/2016
Wells Fargo Clearing Services, Llc San Francisco CA 11/2016 Present
Previous Registrations
  • 2000-09-21 → 2003-07-01
    Prudential Equity Group, Llc
    San Francisco, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1992-12-07
S63 Uniform Securities Agent State Law Examination 1988-08-25
  • S65 Uniform Investment Adviser Law Examination
    1992-12-07
  • S63 Uniform Securities Agent State Law Examination
    1988-08-25

View on SEC IAPD

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