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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 2011-01-03
  • CA RA
    APPROVED
    Since 2011-01-03

Branch Locations

350 W Colorado Blvd Ste 390 [Pn-Rbo], Pasadena, CA 91105 • United States

10540 Foothill Blvd Ste 110, Rancho Cucamonga, CA 91730 • United States

811 W Foothill Blvd, Upland, CA 91786 • 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
OrganizationCityStateFromTo
Wells Fargo Advisors Llc Chino Hills CA 01/2011 11/2016
Wells Fargo Clearing Services, Llc Chino Hills CA 11/2016 Present
Previous Registrations
  • 2001-05-15 → 2011-01-03
    Wells Fargo Investments, Llc
    Chino Hills, CA
    San Dimas, CA
    Chino, CA
    Chino Hills, CA
    Chino Hills, CA
    Ontario, CA
    Chino, CA
    Chino Hills, CA
    Pomona, CA
    Diamond Bar, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-06-02
S63 Uniform Securities Agent State Law Examination 1996-12-05
  • S65 Uniform Investment Adviser Law Examination
    1998-06-02
  • S63 Uniform Securities Agent State Law Examination
    1996-12-05

View on SEC IAPD

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