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Niya Xie

Wells Fargo Clearing Services, LLC

Redwood City, CA

Palo Alto, 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
CA RA APPROVED 2021-01-22
  • CA RA
    APPROVED
    Since 2021-01-22

Branch Locations

1500 Woodside Rd, Redwood City, CA 94061 • United States

301 University Ave 2Nd, 3Rd, & 4Th Fls [Nd-Rbo], Palo Alto, CA 94301 • 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
J.P. Morgan Securities Llc San Francisco CA 10/2015 11/2017
Jpmorgan Chase Bank San Francisco CA 10/2015 11/2017
Jp Morgan Securities Llc San Francisco FL 11/2017 12/2020
Jp Morgan Chase Bank Na San Francisco FL 11/2017 12/2020
Wells Fargo Clearing Services, Llc Redwood City CA 01/2021 Present
Wells Fargo Bank, Na Redwood City CA 12/2020 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2013-10-03
S63 Uniform Securities Agent State Law Examination 2000-11-13
  • S66 Uniform Combined State Law Examination
    2013-10-03
  • S63 Uniform Securities Agent State Law Examination
    2000-11-13
Other Names
  • Laura Niya Xie

View on SEC IAPD

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