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Charles Elliott

Wells Fargo Advisors Financial Network, LLC

Los Gatos, CA

San Francisco, CA

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Current Employers
Wells Fargo Advisors Financial Network, Llc

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2012-04-20
TX RA APPROVED 2012-04-20
  • CA RA
    APPROVED
    Since 2012-04-20
  • TX RA
    APPROVED
    Since 2012-04-20

Branch Locations

20 S Santa Cruz Ave [Satellite], Los Gatos, CA 95030 • United States

580 California St Ste 1200, San Francisco, CA 94104 • 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 Financial Network, Llc San Jose CA 04/2012 Present
Previous Registrations
  • 2009-10-23 → 2012-04-24
    Merrill Lynch, Pierce, Fenner & Smith Incorporated
    San Jose, CA
    San Jose, CA
    San Jose, CA
  • 2004-08-20 → 2009-10-23
    Banc Of America Investment Services, Inc.
    San Jose, CA
    San Jose, CA
    Morgan Hill, CA
    San Jose, CA
    San Jose, CA
    San Jose, CA
  • 1998-08-24 → 2004-08-25
    Morgan Stanley Dw Inc.
    San Jose, CA
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1997-07-11
S65 Uniform Investment Adviser Law Examination 1997-07-11
  • S63 Uniform Securities Agent State Law Examination
    1997-07-11
  • S65 Uniform Investment Adviser Law Examination
    1997-07-11
Other Names
  • Charles Paul Elliott

View on SEC IAPD

Other Firms

STRATEGIC ADVISERS LLC
J.P. MORGAN SECURITIES LLC
REACT INVESTMENT SOLUTIONS, LLC
LEGACY CAPITAL GROUP CALIFORNIA, INC.
INTEGRITY ALLIANCE, LLC.
CHARLES SCHWAB & CO., INC.
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
LOS GATOS FINANCIAL LLC

Other Investors

HARRY SAPUTRA
JENNIFER TRAN
ZACHARY D. LEVY
MARCELA GUADALUPE GONZALEZ
JOYCE WONG IRMER
LUCAS ORME
DIEU TRAN
ELYSSA JOY QUILLA VERZOSA

Other Offices

STRATEGIC ADVISERS LLC · LOS GATOS, CA
J.P. MORGAN SECURITIES LLC · LOS GATOS, CA
REACT INVESTMENT SOLUTIONS, LLC · LOS GATOS, CA
LEGACY CAPITAL GROUP CALIFORNIA, INC. · LOS GATOS, CA
INTEGRITY ALLIANCE, LLC. · Los Gatos, CA
CHARLES SCHWAB & CO., INC. · Los Gatos, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · LOS GATOS, CA
LOS GATOS FINANCIAL LLC · LOS GATOS, CA

More in Los Gatos, CA

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