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Eric Caindec

Wells Fargo Clearing Services, LLC

Corte Madera, CA

San Rafael, 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 2020-12-04
TX RA APPROVED 2020-12-04
  • CA RA
    APPROVED
    Since 2020-12-04
  • TX RA
    APPROVED
    Since 2020-12-04

Branch Locations

770 Tamalpais Dr Ste 400, Corte Madera, CA 94925 • United States

San Rafael, 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
Merrill Lynch, Pierce, Fenner & Smith Incorporated San Rafael CA 10/2009 12/2020
Bank Of America, N.A. Mill Valley CA 07/2011 12/2020
Wells Fargo Clearing Services, Llc San Rafael CA 12/2020 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1996-06-07
S63 Uniform Securities Agent State Law Examination 1996-05-31
  • S65 Uniform Investment Adviser Law Examination
    1996-06-07
  • S63 Uniform Securities Agent State Law Examination
    1996-05-31
Other Names
  • Eric Kaimi Caindec
  • Eric K Caindec

View on SEC IAPD

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Other Offices

COHEN CAPITAL MANAGEMENT INC · CORTE MADERA, CA
AVILA REAL ESTATE CAPITAL · CORTE MADERA, CA
WELLS FARGO CLEARING SERVICES, LLC · CORTE MADERA, CA
WELLS FARGO CLEARING SERVICES, LLC · CORTE MADERA, CA
J.P. MORGAN SECURITIES LLC · CORTE MADERA, CA
PATHBREAKER VENTURES II, LLC · CORTE MADERA, CA
PATHBREAKER VENTURES III, LLC · CORTE MADERA, CA
PATHBREAKER VENTURES, LLC · CORTE MADERA, CA

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