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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 2017-11-13
  • CA RA
    APPROVED
    Since 2017-11-13

Branch Locations

400 Capitol Mall Ste 1700 [Nm-Rbo], Sacramento, CA 95814 • United States

340 F St, Davis, CA 95616 • 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
U.S. Bancorp Investments Inc. Sacramento CA 10/2015 10/2017
Wells Fargo Clearing Services, Llc Roseville CA 10/2017 Present
Previous Registrations
  • 2015-10-06 → 2017-11-13
    Sacramento, CA
    Vacaville, CA
    Fairfield, CA
    Davis, CA
    Woodland, CA
    Sacramento, CA
    Sacramento, CA
    Sacramento, CA
    West Sacramento, CA
    Elk Grove, CA
    Sacramento, CA
    Sacramento, CA
    Sacramento, CA
  • 2012-10-01 → 2015-10-07
    Stockton, CA
    Tracy, CA
    Lodi, CA
    Manteca, CA
    Oakdale, CA
    Riverbank, CA
    Turlock, CA
    Atwater, CA
    Manteca, CA
    Manteca, CA
    Stockton, CA
    Modesto, CA
    Turlock, CA
    Merced, CA
    Merced, CA
    Modesto, CA
    Tracy, CA
    Lathrop, CA
    Modesto, CA
    Tracy, CA
    Stockton, CA
    Modesto, CA
    Modesto, CA
    Stockton, CA
    Stockton, CA
    Modesto, CA
    Los Banos, CA
    Davis, CA
    Sacramento, CA
    Dixon, CA
    Woodland, CA
    Sacramento, CA
    West Sacramento, CA
    Elk Grove, CA
    Sacramento, CA
    Sacramento, CA
    Sacramento, CA
    Woodland, CA
    Sacramento, CA
    Elk Grove, CA
    Sacramento, CA
    Sacramento, CA
    Sacramento, CA
    Elk Grove, CA
    Elk Grove, CA
    Sacramento, CA
    Sacramento, CA
    Sacramento, CA
    Sacramento, CA
    Sacramento, CA
    Elk Grove, CA
    Woodland, CA
    Davis, CA
    Martinez, CA
    Sacramento, CA
    Auburn, CA
    Lincoln, CA
    Auburn, CA
    Lincoln, CA
    Roseville, CA
    Granite Bay, CA
  • 2010-09-17 → 2012-10-01
    Chase Investment Services Corp.
    Sacramento, CA
    Davis, CA
    Elk Grove, CA
    Sacramento, CA
    Sacramento, CA
    Sacramento, CA
    Sacramento, CA
    Sacramento, CA
    Sacramento, CA
    Elk Grove, CA
    Fairfield, CA
    Elk Grove, CA
    Sacramento, CA
    Sacramento, CA
    Sacramento, CA
    Citrus Heights, CA
    Elk Grove, CA
    Sacramento, CA
    Woodland, CA
    Sacramento, CA
    Sacramento, CA
    Alameda, CA
    Fairfield, CA
    Fairfield, CA
    Oakland, CA
    Hercules, CA
    Antioch, CA
    Oakland, CA
    Berkeley, CA
    El Cerrito, CA
    Richmond, CA
    Berkeley, CA
    Brentwood, CA
    Antioch, CA
    Antioch, CA
    Oakland, CA
    Richmond, CA
    Martinez, CA
    Vallejo, CA
    Oakley, CA
    Vallejo, CA
    Davis, CA
    Oakland, CA
    Vacaville, CA
    Pittsburgh, CA
    Oakland, CA
    Pleasant Hill, CA
    Vacaville, CA
    Elk Grove, CA
    Vallejo, CA
    Fairfield, CA
    Discovery Bay, CA
    Sacramento, CA
    Woodland, CA
    Dixon, CA
    Benicia, CA
    Suisun City, CA
    Woodland, CA
    Sacramento, CA
    Bay Point, CA
    Fairfield, CA
    Sacramento, CA
    Sacramento, CA
    West Sacramento, CA
    Los Banos, CA
    Modesto, CA
    Stockton, CA
    Stockton, CA
    Tracy, CA
    Modesto, CA
    Lathrop, CA
    Stockton, CA
    Tracy, CA
    Modesto, CA
    Modesto, CA
    Modesto, CA
    Merced, CA
    Merced, CA
    Turlock, CA
    Modesto, CA
    Stockton, CA
    Manteca, CA
    Manteca, CA
    Atwater, CA
    Turlock, CA
    Riverbank, CA
    Oakdale, CA
    Manteca, CA
    Lodi, CA
    Tracy, CA
    Stockton, CA
  • 2009-05-29 → 2010-09-20
    Woodland, CA
  • 2008-07-24 → 2009-05-26
    Sacramento, CA
  • 2005-01-14 → 2008-07-24
    Sacramento, CA
    Sacramento, CA
    San Francisco, CA
    Sacramento, CA
  • 1998-08-24 → 2005-01-19
    Morgan Stanley Dw Inc.
    Stockton, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1997-03-31
S63 Uniform Securities Agent State Law Examination 1997-03-11
  • S65 Uniform Investment Adviser Law Examination
    1997-03-31
  • S63 Uniform Securities Agent State Law Examination
    1997-03-11

View on SEC IAPD

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