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Daniel Joseph Luddy

Wells Fargo Clearing Services, LLC

Newport Beach, CA

Irvine, 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 2018-12-06
CA RA APPROVED 2011-01-03
  • TX RA
    APPROVED_RES
    Since 2018-12-06
  • CA RA
    APPROVED
    Since 2011-01-03

Branch Locations

5 Corporate Plz, Newport Beach, CA 92660 • United States

5 Park Plaza 19Th Fl [Xl-Rbo], Irvine, CA 92614 • 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 Newport Beach CA 01/2011 11/2016
Wells Fargo Clearing Services, Llc Newport Beach CA 11/2016 Present
Previous Registrations
  • 2002-08-28 → 2011-01-03
    Wells Fargo Investments, Llc
    Newport Beach, CA
    Newport Beach, CA
Other Businesses

POWER OF ATTORNEY FOR MOTHER, INV RELATED, LAGUNA HILLS, CA, START: 8/28/2019, LESS THAN 1 HR/MONTH, 0 HRS DURING TRADING.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2002-08-27
S63 Uniform Securities Agent State Law Examination 2001-02-20
  • S66 Uniform Combined State Law Examination
    2002-08-27
  • S63 Uniform Securities Agent State Law Examination
    2001-02-20

View on SEC IAPD

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