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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 2024-06-25
AZ RA APPROVED 2011-01-03
  • CA RA
    APPROVED
    Since 2024-06-25
  • AZ RA
    APPROVED
    Since 2011-01-03

Branch Locations

2195 E River Rd [Sa-Rbo], Tucson, AZ 85718 • United States

Tucson, AZ • United States

Coronado, CA • 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 Tucson AZ 01/2011 11/2016
Wells Fargo Clearing Services, Llc Tucson AZ 11/2016 Present
Previous Registrations
  • 2003-07-31 → 2011-01-03
    Wells Fargo Investments, Llc
    Tucson, AZ
    Tucson, AZ
Other Businesses

RIVERS RUN, LLC, INVT RELATED, TUCSON, AZ, 100% OWNERSHIP WITH SPOUSE, START 1/27/2010, 0.5 HRS PER MONTH, 0 HRS DURING TRADING, LLC FOR RENTAL PROPERTIES. RENTAL PROPERTY, INV RELATED, TUCSON, AZ, 100% OWNERSHIP WITH SPOUSE, START 2/12/2010, .25 HRS PER MONTH, 0 HRS DURING TRADING, RENTAL PROPERTY. RENTAL PROPERTY, INV RELATED, TUCSON, AZ, 100% OWNERSHIP WITH SPOUSE, START 6/12/2012, .25 HRS PER MONTH, 0 HRS DURING TRADING, RENTAL PROPERTY. RENTAL PROPERTY, INV RELATED, SAN DIEGO, CA, 100% OWNERSHIP WITH SPOUSE, START 12/29/2011, 0 HRS PER MONTH, 0 HRS DURING TRADING, RENTAL PROPERTY. RENTAL PROPERTY, INV RELATED, TUCSON, AZ, 100% OWNERSHIP WITH SPOUSE, START 6/13/2012, .25 HRS PER MONTH, 0 HRS DURING TRADING, RENTAL PROPERTY. RENTAL PROPERTY, INV RELATED, TUCSON, AZ, 100% OWNERSHIP WITH SPOUSE, START 1/30/2010, .25 HRS PER MONTH, 0 HRS DURING TRADING, RENTAL PROPERTY. TUC PHX SAN LLC, LLC, INV RELATED, TUCSON, AZ, 100% OWNERSHIP BY SPOUSE, START 7/14/2011, 0 HRS PER MONTH, 0 HRS DURING TRADING, CHECK SIGNER FOR RENTAL PROPERTY. RENTAL PROPERTY, INV RELATED, TUCSON, AZ, 100% OWNERSHIP WITH SPOUSE, START 4/28/2023, .5 HOURS PER MONTH, ZERO HOURS DURING TRADING. RENTAL PROPERTY, INV RELATED, SEATLE, WA, 100% OWNERSHIP WITH SPOUSE, START 5/10/2024, .25 HOURS PER MONTH, ZERO HOURS DURING TRADING. DIANA A BREWER ESTATE;NOT INV RELATED; TUCSON,AZ; BENEFICIARY; START DATE: 08/01/2025; 1 HRS PER MONTH; 0 HRS DURING TRADING; | RENTAL PROPERTY - WAVERLY; INV RELATED; TIGARD, OR; RENTAL;100% OWNERSHIP; START DATE: 09/12/2025; 1 HRS PER MONTH; 0 HRS DURING TRADING; |

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2003-07-21
S63 Uniform Securities Agent State Law Examination 2001-07-25
  • S65 Uniform Investment Adviser Law Examination
    2003-07-21
  • S63 Uniform Securities Agent State Law Examination
    2001-07-25
Other Names
  • Christine Kay Kocsis

View on SEC IAPD

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