Chiaheng John Chen

Current Employers

Wells Fargo Clearing Services, Llc

One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States

Current Registrations

Authority	Category	Status	Date
NC	RA	APPROVED	2024-10-08

NC RA
APPROVED

Since 2024-10-08

Branch Locations

1525 W Wt Harris Blvd 5Th Fl [Clt Rcast], Charlotte, NC 28262 • United States

One North Jefferson Avenue Mail Code: H0004-05G, St. Louis, MO 63103 • UNITED STATES

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Wells Fargo Advisors Llc	Raleigh	NC	11/2014	11/2016
Wells Fargo Clearing Services, Llc	Raleigh	NC	11/2016	05/2024
Wells Fargo Clearing Services	Charlotte	NC	10/2024	Present
Lyft	Charlotte	NC	05/2024	09/2024

11/2014 → 11/2016

Wells Fargo Advisors Llc

Raleigh, NC
11/2016 → 05/2024

Wells Fargo Clearing Services, Llc

Raleigh, NC
10/2024 → Present

Wells Fargo Clearing Services

Charlotte, NC
05/2024 → 09/2024

Lyft

Charlotte, NC

Previous Registrations

2014-11-14 → 2024-06-06

Wells Fargo Clearing Services, Llc

Raleigh, NC

Charlotte, NC

Charlotte, NC

St. Louis, MO
2004-09-22 → 2014-11-24

Ubs Financial Services Inc.

Chapel Hill, NC

Chapel Hill, NC

Chapel Hill, NC

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2004-09-21
S65	Uniform Investment Adviser Law Examination	1998-08-12
S63	Uniform Securities Agent State Law Examination	1997-01-27

S66 Uniform Combined State Law Examination

2004-09-21
S65 Uniform Investment Adviser Law Examination

1998-08-12
S63 Uniform Securities Agent State Law Examination

1997-01-27

Other Names

Chiaheng J Chen
Chiaheng John Chen
John C Chen
C John Chen

View on SEC IAPD