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Sun-Kyung Bae

Wells Fargo Clearing Services, LLC

Charlotte, NC

St. Louis, MO

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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
NC RA APPROVED 2025-08-08
  • NC RA
    APPROVED
    Since 2025-08-08

Branch Locations

401 S Tryon St, Charlotte, NC 28202 • United States

One North Jefferson Avenue Mail Code: H0004-05G, St. Louis, MO 63103 • 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
Ubs Financial Services Inc. Weehawken NJ 09/2015 07/2022
Ubs Bank Usa Weehawken NJ 09/2015 01/2018
Wells Fargo Bank Charlotte NC 08/2022 Present
Wells Fargo Clearing Services Charlotte NC 02/2023 Present
  • 09/2015 → 07/2022
    Ubs Financial Services Inc.
    Weehawken, NJ
  • 09/2015 → 01/2018
    Ubs Bank Usa
    Weehawken, NJ
  • 08/2022 → Present
    Wells Fargo Bank
    Charlotte, NC
  • 02/2023 → Present
    Wells Fargo Clearing Services
    Charlotte, NC
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2025-09-05
S63 Uniform Securities Agent State Law Examination 1997-05-19
  • S65 Uniform Investment Adviser Law Examination
    2025-09-05
  • S63 Uniform Securities Agent State Law Examination
    1997-05-19
Designations
Other Names
  • Sun Kyung Bae
  • Sun Kyung Bae

View on SEC IAPD

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