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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 2023-10-05
  • CA RA
    APPROVED
    Since 2023-10-05

Branch Locations

21323 Hawthorne Blvd, Torrance, CA 90503 • 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 Burbank CA 10/2012 10/2023
Wells Fargo Clearing Services, Llc Pasadena CA 10/2023 Present
Previous Registrations
  • 2012-10-01 → 2023-10-06
    Burbank, CA
    Burbank, CA
    Burbank, CA
  • 2011-05-05 → 2012-10-01
    Chase Investment Services Corp.
    Burbank, CA
    Glendale, CA
    Burbank, CA
  • 2011-01-03 → 2011-05-05
    Glendale, CA
  • 2007-04-17 → 2011-01-03
    Wells Fargo Investments, Llc
    Pasadena, CA
    Glendale, CA
  • 2004-04-01 → 2006-07-07
    Cuna Brokerage Services, Inc.
    Long Beach, CA
    Lakewood, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2001-08-29
  • S66 Uniform Combined State Law Examination
    2001-08-29
Other Names
  • Johnson Chun Kui Leung

View on SEC IAPD

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