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Samuel Robert Tapia

Wells Fargo Clearing Services, LLC

Carlsbad, 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 2024-11-23
CA RA APPROVED 2010-09-28
  • TX RA
    APPROVED_RES
    Since 2024-11-23
  • CA RA
    APPROVED
    Since 2010-09-28

Branch Locations

5800 Armada Dr Ste 300, Carlsbad, CA 92008 • 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 Carlsbad CA 09/2010 11/2016
Wells Fargo Clearing Services, Llc Carlsbad CA 11/2016 Present
Previous Registrations
  • 2009-06-01 → 2010-09-30
    Morgan Stanley
    Carlsbad, CA
  • 2007-04-02 → 2009-06-01
    Morgan Stanley & Co. Llc
    Carlsbad, CA
    Paso Robles, CA
  • 2000-01-24 → 2007-04-02
    Morgan Stanley Dw Inc.
    Carlsbad, CA
    Paso Robles, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2000-01-07
S63 Uniform Securities Agent State Law Examination 1999-10-14
  • S65 Uniform Investment Adviser Law Examination
    2000-01-07
  • S63 Uniform Securities Agent State Law Examination
    1999-10-14
Other Names
  • Samuel Robert Tapia
  • Samuel Robert Tapia Jr
  • Samuel Robert Tapia
  • Samuel Robert Tapia Jr.
  • Sam Tapia

View on SEC IAPD

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Other Offices

INTELLIGENCE DRIVEN ADVISERS, LLC · CARLSBAD, CA
COTTINGHAM MANAGEMENT COMPANY, LLC · CARLSBAD, CA
CORONADO INVESTMENT ADVISORS, LLC · CARLSBAD, CA
FINANCIAL PLANNING SOLUTIONS, INC. · CARLSBAD, CA
PFS INVESTMENTS INC. · CARLSBAD, CA
COMMONWEALTH FINANCIAL NETWORK · CARLSBAD, CA
FRANK FINANCIAL ADVISORS · CARLSBAD, CA
LPL FINANCIAL LLC · CARLSBAD, CA

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