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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 2016-03-18
TX RA APPROVED 2016-03-18
  • CA RA
    APPROVED
    Since 2016-03-18
  • TX RA
    APPROVED
    Since 2016-03-18

Branch Locations

225 S. Lake Ave Ste 700, Pasadena, CA 91101 • 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 Pasadena CA 03/2016 11/2016
Wells Fargo Clearing Services, Llc Pasadena CA 11/2016 Present
Previous Registrations
Other Businesses

CROWN CITY REAL ESTATE HOLDINGS LLC, INV RELATED, LOS ANGELES, CA, 100% OWNED WITH SPOUSE, START 8/16/2017, 2 HOURS PER MONTH/0 DURING TRADING, DUTIES: MANAGE PROPERTIES. RENTAL PROPERTY, INV RELATED, AZUSA, CA, 100% OWNER WITH SPOUSE, START 11/10/2017, 1 HOUR PER MONTH/0 DURING TRADING, DUTIES: COLLECTING RENT. RENTAL PROPERTY; INVESTMENT RELATED; AZUSA, CA; 100% OWNERSHIP WITH SPOUSE; START 2/28/2019; NUMBER OF HOURS PER MONTH 1; NUMBER OF HOURS DURING TRADING 0; COLLECT RENT. SPARKING SUCCESS WITH WOMEN PROFESSIONAL WOMENS NETWORKING GROUP CORP; NOT INV RELATED; PASADENA, CA; FOUNDER; START 4/24/2023; 2 HOURS PER MONTH; 1.5 DURING TRADING, FOUNDER OF INDUSTRY PROFESSIONALS AND INTEREST GROUP, ORGANIZE AND RUN MEETINGS, EDUCATE AND SUPPOSRT LOCAL WOMEN PROFESSIONALS THROUGH MEMBERSHIP, HELP PUT TOGETHER GROUP NETWORKING ACTIVITIES, MEET WITH NEW PROSPECTIVE MEMEBERS, DISCUSS BUSINESS TOPICS, EDUCATION, EMPOWER AND SUPPORT ONE ANOTHER, LOCAL COMMUNITY VOLUNTEER WORK, AND HAVE ANNUAL MEMBER RETREAT.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2008-03-17
S63 Uniform Securities Agent State Law Examination 2002-02-04
  • S66 Uniform Combined State Law Examination
    2008-03-17
  • S63 Uniform Securities Agent State Law Examination
    2002-02-04
Other Names
  • Connie Garcia

View on SEC IAPD

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