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Christopher David Guerrero

Wells Fargo Clearing Services, LLC

Cypress, TX

Houston, TX

CRD 4254280

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Employer firm

Wells Fargo Clearing Services, LLC CRD 19616

$671B regulatory AUM 5,302 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers
  • INVESTMENT CONSULTING SERVICES TO INSTITUTIONAL CLIENTS

From the firm’s Form ADV. Read the guides:

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
TX RA APPROVED 2019-05-01
  • TX RA
    APPROVED
    Since 2019-05-01

Branch Locations

25694 Highway 290, Cypress, TX 77429 • United States

1000 Louisiana St 7Th Fl [Tn/Td-Rbo], Houston, TX 77002 • 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
Jpmorgan Securities Llc Houston TX 02/2013 04/2019
Wells Fargo Clearing Services, Llc Houston TX 04/2019 Present
Previous Registrations
  • 2013-02-11 → 2019-05-08
    J.P. Morgan Securities Llc
    Houston, TX
    Houston, TX
    Houston, TX
    Houston, TX
  • 2008-02-13 → 2013-01-29
    Hsbc Securities (Usa) Inc.
    New York, NY
    New York, NY
    New York, NY
    New York, NY
  • 2003-07-08 → 2008-02-05
    Chase Investment Services Corp.
    New York, NY
    New York, NY
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2001-10-19
  • S66 Uniform Combined State Law Examination
    2001-10-19
Other Names
  • Christopher D Guerrero

View on SEC IAPD

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