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Julie Anne Liske

Wells Fargo Clearing Services, LLC

San Jose, CA

San Jose, 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 2011-08-10
  • CA RA
    APPROVED
    Since 2011-08-10

Branch Locations

50 W San Fernando St Ste 1500 [Support Center], San Jose, CA 95113 • United States

50 W San Fernando St Ste 1500 [Support Center], San Jose, CA 95113 • 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 San Jose CA 08/2011 11/2016
Wells Fargo Clearing Services, Llc San Jose CA 11/2016 Present
Previous Registrations
  • 2009-06-01 → 2011-08-05
    Morgan Stanley
    San Jose, CA
    Palo Alto, CA
  • 2007-04-02 → 2009-06-01
    Morgan Stanley & Co. Llc
    San Jose, CA
  • 1998-11-02 → 2007-04-02
    Morgan Stanley Dw Inc.
    San Jose, CA
    San Jose, CA
Other Businesses

TRUSTEE FOR DECD FATHER IN-LAW; INV REALTED; WARWICK, RI; START: 12/5/18; 1 HR/MO; 0 DURING TRADING.;

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2009-05-21
S63 Uniform Securities Agent State Law Examination 1996-09-13
  • S66 Uniform Combined State Law Examination
    2009-05-21
  • S63 Uniform Securities Agent State Law Examination
    1996-09-13
Other Names
  • Julie Anne Dunham
  • Julie Anne Dunham

View on SEC IAPD

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Other Offices

J.P. MORGAN SECURITIES LLC · SAN JOSE, CA
PFG ADVISORS · San Jose, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · SAN JOSE, CA
WELLS FARGO CLEARING SERVICES, LLC · SAN JOSE, CA
J.P. MORGAN SECURITIES LLC · SAN JOSE, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · SAN JOSE, CA
EQUITABLE ADVISORS, LLC · CAMPBELL, CA
ROLO VENTURES MANAGEMENT LLC · SAN JOSE, CA

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