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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 2024-11-18
CA RA APPROVED 2011-01-03
  • TX RA
    APPROVED_RES
    Since 2024-11-18
  • CA RA
    APPROVED
    Since 2011-01-03

Branch Locations

101 Federal Pl Ste 101 [Regional Supervision], Tarpon Springs, FL 34689 • United States

3059 Townsgate Rd 4Th Fl, Ste 400, Westlake Village, CA 91361 • United States

Simi Valley, CA • 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 Bank Encino CA 08/2003 Present
Wells Fargo Advisors Llc Encino CA 01/2011 11/2016
Wells Fargo Clearing Services, Llc Encino CA 11/2016 Present
  • 08/2003 → Present
    Wells Fargo Bank
    Encino, CA
  • 01/2011 → 11/2016
    Wells Fargo Advisors Llc
    Encino, CA
  • 11/2016 → Present
    Encino, CA
Previous Registrations
  • 2003-09-03 → 2011-01-03
    Wells Fargo Investments, Llc
    Encino, CA
    Calabasas, CA
    Calabasas, CA
  • 2001-11-26 → 2003-04-30
    Beverly Hills, CA
Other Businesses

BIG SKY HOME OWNERS ASSOCIATION, NOT INV RELATED, SIMI VALLEY, CA, SECRETARY, START 3/18/2021, 3 HRS PER MONTH, 0 HRS DURING TRADING, DISCUSS NEIGHBORHOOD PROJECTS AND NUISANCES.; CO-TRUSTEE FOR GRANDMOTHER'S TRUST, INV RELATED, SIMI VALLEY, CA, START 3/11/2022, 5 HRS/MONTH, 0 HRS DURING TRADING.; TRUSTEE FOR FATHER'S TRUST, INV RELATED, LOS ANGELES, CA, START 3/1/2023, 5 HOURS A MONTH, 0 HOURS DURING TRADING. CREATIVE EVER AFTER; NOT INV. RELATED; SIMI VALLEY, CA; CHECK SIGNER FOR SPOUSE'S BUSINESS; EMBROIDERED CREATIONS; START DATE 5/31/2024; 1 HOUR PER WEEK; 0 HOURS DURING BUSINESS HOURS; DUTIES: PROVIDE GUIDANCE AND SUGGESTIONS. RUTH & JOSEPH C REED FOUNDATION FOR THE ARTS; INV RELATED; SIMI VALLEY,CA; PROVIDE ART EDUCATION; TREASURER; START DATE: 01/01/2024; 10 HRS PER MONTH; 0 HRS DURING TRADING;|

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2001-10-05
  • S66 Uniform Combined State Law Examination
    2001-10-05

View on SEC IAPD

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