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Brian Patrick Rossney

Wells Fargo Clearing Services, LLC

Seal Beach, CA

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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
TX RA APPROVED_RES 2013-06-19
CA RA APPROVED 2003-07-01
  • TX RA
    APPROVED_RES
    Since 2013-06-19
  • CA RA
    APPROVED
    Since 2003-07-01

Branch Locations

3020 Old Ranch Pkwy Stes 190, 150 & 140, Seal Beach, CA 90740 • 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 Seal Beach CA 05/2009 11/2016
Wells Fargo Clearing Services, Llc Seal Beach CA 11/2016 Present
Previous Registrations
  • 2001-03-01 → 2003-07-01
    Prudential Equity Group, Llc
    Long Beach, CA
Other Businesses

CO-TRUSTEE OF MOTHER'S TRUST; INV. RELATED; SAN PEDRO, CA; START DATE 5/2008; 5 HRS PER MONTH; 0 HRS DURING TRADING.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2000-10-23
  • S66 Uniform Combined State Law Examination
    2000-10-23

View on SEC IAPD

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Other Offices

CHARLES SCHWAB & CO., INC. · Seal Beach, CA
J.P. MORGAN SECURITIES LLC · SEAL BEACH, CA
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · SEAL BEACH, CA
UBS FINANCIAL SERVICES INC. · SEAL BEACH, CA
LPL FINANCIAL LLC · SEAL BEACH, CA
OSAIC WEALTH, INC. · SEAL BEACH, CA
AMIP MANAGEMENT · SEAL BEACH, CA
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