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Clift Richard O'BYaw

Wells Fargo Clearing Services, LLC

San Francisco, CA

San Francisco, CA

San Francisco, CA

CRD 4310903

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Employer firm

Wells Fargo Clearing Services, LLC CRD 19616

$671B regulatory AUM 5,302 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers
  • INVESTMENT CONSULTING SERVICES TO INSTITUTIONAL CLIENTS

From the firm’s Form ADV. Read the guides:

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 2023-03-28
  • CA RA
    APPROVED
    Since 2023-03-28

Branch Locations

2454 Noriega St, San Francisco, CA 94122 • United States

420 Montgomery St 7Th Fl [Nf*/Ng-Rbo], San Francisco, CA 94104 • United States

464 California St, San Francisco, CA 94104 • 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
U.S. Bancorp Investments, Inc. Cupertino CA 04/2015 08/2019
Citigroup San Francisco CA 08/2019 03/2023
Wells Fargo Clearing Services, Llc San Francisco CA 03/2023 Present
Previous Registrations
  • 2019-10-31 → 2023-04-04
    Citigroup Global Markets Inc.
    Miami, FL
    San Francisco, CA
    Los Angeles, CA
    Fresno, CA
  • 2015-05-04 → 2019-09-19
    U.S. Bancorp Investments, Inc.
    San Francisco, CA
    San Francisco, CA
    Cupertino, CA
    Sunnyvale, CA
    San Francisco, CA
    Cupertino, CA
    San Francisco, CA
    San Francisco, CA
    San Francisco, CA
    San Francisco, CA
  • 2015-03-30 → 2015-04-27
    Cetera Advisors Llc
    San Jose, CA
  • 2011-01-03 → 2015-04-01
    Wells Fargo Clearing Services, Llc
    Santa Clara, CA
    Santa Clara, CA
    San Jose, CA
    Cupertino, CA
    San Jose, CA
  • 2010-08-10 → 2011-01-03
    Wells Fargo Investments, Llc
    Santa Clara, CA
    Santa Clara, CA
  • 2009-11-04 → 2010-08-12
    Citigroup Global Markets Inc.
    San Francisco, CA
    San Francisco, CA
    Jacksonville, FL
    San Francisco, CA
    San Francisco, CA
    San Francisco, CA
    San Francisco, CA
    San Francisco, CA
    San Francisco, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2009-10-26
  • S66 Uniform Combined State Law Examination
    2009-10-26
Other Names
  • Clift Richard

View on SEC IAPD

Nearby Firms

FORT POINT CAPITAL PARTNERS LLC
DIVISAR CAPITAL MANAGEMENT, LLC
CHARLES SCHWAB & CO., INC.

Nearby Investors

TIMOTHY TODD MCDOWELL
JOHN HUGH MCDEVITT
JOSEPH WADE PITTS

Nearby Offices

FORT POINT CAPITAL PARTNERS LLC · SAN FRANCISCO, CA
DIVISAR CAPITAL MANAGEMENT, LLC · SAN FRANCISCO, CA
CHARLES SCHWAB & CO., INC. · San Francisco, CA

More in San Francisco, CA

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