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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 2013-01-03
CA RA APPROVED 2011-01-03
  • TX RA
    APPROVED_RES
    Since 2013-01-03
  • CA RA
    APPROVED
    Since 2011-01-03

Branch Locations

2520 El Camino Real, Carlsbad, CA 92008 • United States

1150 E Vista Way, Vista, CA 92084 • United States

3446 Via Mercato, Carlsbad, CA 92009 • United States

4176 Oceanside Boulevard, Oceanside, CA 92056 • United States

2701 Vista Way, Oceanside, CA 92054 • United States

4655 Executive Dr Ste 1000 [Sc-Rbo], San Diego, CA 92121 • 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 Diego CA 01/2011 11/2016
Wells Fargo Clearing Services, Llc San Diego CA 11/2016 Present
Previous Registrations
  • 2001-05-15 → 2011-01-03
    Wells Fargo Investments, Llc
    Oceanside, CA
    Oceanside, CA
    Oceanside, CA
    Oceanside, CA
    San Diego, CA
    San Diego, CA
    Oceanside, CA
Other Businesses

CHAUVY INVESTMENT LLC; INV RELATED; CALIFORNIA; 100% OWNERSHIP UDIRECT IRA ACCT; START: 10/23/2023; 0 HOURS PER MONTH; 0 DURING TRADING; INVESTOR.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-05-08
S63 Uniform Securities Agent State Law Examination 1996-10-30
  • S65 Uniform Investment Adviser Law Examination
    1998-05-08
  • S63 Uniform Securities Agent State Law Examination
    1996-10-30

View on SEC IAPD

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