Steven Hai Shi

Current Employers

Wells Fargo Clearing Services, Llc

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2011-01-03

TX RA
APPROVED

Since 2011-01-03

Branch Locations

8115 Preston Rd Ste 300, Dallas, TX 75225 • United States

17 Cowboys Way Ste 500, Frisco, TX 75034 • 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

Organization	City	State	From	To
Wells Fargo Advisors Llc	Grapevine	TX	01/2011	11/2016
Wells Fargo Clearing Services, Llc	Grapevine	TX	11/2016	Present

01/2011 → 11/2016

Wells Fargo Advisors Llc

Grapevine, TX
11/2016 → Present

Wells Fargo Clearing Services, Llc

Grapevine, TX

Previous Registrations

2006-07-03 → 2011-01-03

Wells Fargo Investments, Llc

Mckinney, TX

Lewisville, TX

Roanoke, TX

Plano, TX

Allen, TX

Murphy, TX

Flower Mound, TX

Flower Mound, TX

Grapevine, TX

Highland Village, TX

Boyd, TX

Flower Mound, TX

Coppell, TX

Flower Mound, TX

Mckinney, TX

Plano, TX

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2006-06-26
S63	Uniform Securities Agent State Law Examination	1997-12-10

S65 Uniform Investment Adviser Law Examination

2006-06-26
S63 Uniform Securities Agent State Law Examination

1997-12-10

Other Names

Hai Shi
Steven Shi

View on SEC IAPD

Current Employers

Wells Fargo Clearing Services, Llc

Disclosures

Employment History

Previous Registrations

Exams

Other Names

Other Firms

Other Investors

Other Offices

Reviews