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Henry K Pak

Wells Fargo Clearing Services, LLC

Mill Valley, CA

Santa Rosa, 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_RES 2020-01-23
CA RA APPROVED 2012-08-13
  • TX RA
    APPROVED_RES
    Since 2020-01-23
  • CA RA
    APPROVED
    Since 2012-08-13

Branch Locations

525 Miller Ave, Mill Valley, CA 94941 • United States

3700 Old Redwood Hwy Ste 108 [Nj-Rbo], Santa Rosa, CA 95404 • 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
OrganizationCityStateFromTo
Wells Fargo Advisors, Llc Corte Madera CA 08/2012 11/2016
Wells Fargo Clearing Services, Llc Corte Madera CA 11/2016 Present
Previous Registrations
  • 2003-12-16 → 2012-08-28
    Bancwest Investment Services, Inc.
    Fremont, CA
    El Cerrito, CA
    El Cerrito, CA
    Fremont, CA
    Fremont, CA
    Berkeley, CA
    El Cerrito, CA
    Richmond, CA
    Oakland, CA
    Oakland, CA
  • 2003-04-16 → 2003-12-17
    Citicorp Investment Services
    San Leandro, CA
  • 1998-08-24 → 2003-04-10
    Morgan Stanley Dw Inc.
    Oakland, CA
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1998-02-02
S65 Uniform Investment Adviser Law Examination 1998-02-02
  • S63 Uniform Securities Agent State Law Examination
    1998-02-02
  • S65 Uniform Investment Adviser Law Examination
    1998-02-02

View on SEC IAPD

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CHRISTOPHER JOHN ANTONIO

Other Offices

PRIVATE WEALTH PARTNERS, LLC · MILL VALLEY, CA
DIPSEA CAPITAL, LLC · MILL VALLEY, CA
OSAIC WEALTH, INC. · Mill Valley, CA
SCHMITZ CAPITAL PARTNERS, LLC · MILL VALLEY, CA
BAYHUNT CAPITAL LLC · MILL VALLEY, CA
BOLDIN ADVISORS · MILL VALLEY, CA
URBAN INVESTMENT ADVISORS · MILL VALLEY, CA
COMMONWEALTH FINANCIAL NETWORK · Mill Valley, CA

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