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James Thomas Griffin

Wells Fargo Clearing Services, LLC

El Segundo, CA

Anaheim Hills, CA

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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
TX RA APPROVED 2019-02-04
CA RA APPROVED 2011-01-03
  • TX RA
    APPROVED
    Since 2019-02-04
  • CA RA
    APPROVED
    Since 2011-01-03

Branch Locations

2141 Rosecrans Ave Ste 4100 [Lg/Lb-Rbo], El Segundo, CA 90245 • United States

Anaheim Hills, CA • 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 Llc El Segundo CA 01/2011 11/2016
Wells Fargo Clearing Services, Llc El Segundo CA 11/2016 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2000-05-05
S63 Uniform Securities Agent State Law Examination 1997-07-22
  • S65 Uniform Investment Adviser Law Examination
    2000-05-05
  • S63 Uniform Securities Agent State Law Examination
    1997-07-22
Designations

View on SEC IAPD

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Other Offices

MORGAN STANLEY · El Segundo, CA
WELLS FARGO CLEARING SERVICES, LLC · EL SEGUNDO, CA
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · EL SEGUNDO, CA
SOLACE CAPITAL PARTNERS, L.P. · EL SEGUNDO, CA
STRANDVIEW CAPITAL, LLC · EL SEGUNDO, CA
UBS FINANCIAL SERVICES INC. · El Segundo, CA
UBS FINANCIAL SERVICES INC. · El Segunda, CA
LPL FINANCIAL LLC · EL SEGUNDO, CA

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