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Samantha Hoiwan Chan

Wells Fargo Clearing Services, LLC

New York, NY

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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
NY RA APPROVED 2021-07-18
TX RA APPROVED 2020-02-18
NJ RA APPROVED 2018-11-29
  • NY RA
    APPROVED
    Since 2021-07-18
  • TX RA
    APPROVED
    Since 2020-02-18
  • NJ RA
    APPROVED
    Since 2018-11-29

Branch Locations

1 Penn Plz Fl 27, New York, NY 10119 • 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 New York NY 05/2009 11/2016
Wells Fargo Clearing Services, Llc New York NY 11/2016 Present
Previous Registrations
  • 2003-01-03 → 2005-02-28
    Morgan Stanley Dw Inc.
    New York, NY
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2018-11-28
S63 Uniform Securities Agent State Law Examination 2001-03-08
  • S66 Uniform Combined State Law Examination
    2018-11-28
  • S63 Uniform Securities Agent State Law Examination
    2001-03-08
Other Names
  • Hoi Wan Chan

View on SEC IAPD

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