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James N. Hong

Wells Fargo Clearing Services, LLC

Purchase, NY

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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
NY RA APPROVED 2023-07-20
TX RA APPROVED_RES 2017-10-02
CT RA APPROVED 2017-09-29
  • NY RA
    APPROVED
    Since 2023-07-20
  • TX RA
    APPROVED_RES
    Since 2017-10-02
  • CT RA
    APPROVED
    Since 2017-09-29

Branch Locations

2500 Westchester Ave Stes 201 & 203, Purchase, NY 10577 • 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 Clearing Services Llc Old Greenwich CT 09/2017 Present
Ubs Financial Services Inc Stamford CT 09/2008 09/2017
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2003-02-15
  • S66 Uniform Combined State Law Examination
    2003-02-15
Other Names
  • James N. Hong

View on SEC IAPD

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GREENHAVEN ASSOCIATES INC
UBS FINANCIAL SERVICES INC.
NOW ASSET MANAGEMENT LLC
OTR GLOBAL LLC
JANNEY MONTGOMERY SCOTT LLC
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
GREYWOLF CAPITAL MANAGEMENT LP
OLSTEIN CAPITAL MANAGEMENT, L.P.

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ERIC ALAN BICKLER
RYAN VINCENT HETZER
SIOBHAN BRADY
Anthony Joseph DiPerri
Michael Patrick Zazuri
DYLAN William WYNNE
ROB ANTONY SABEL

Other Offices

GREENHAVEN ASSOCIATES INC · PURCHASE, NY
UBS FINANCIAL SERVICES INC. · Purchase, NY
NOW ASSET MANAGEMENT LLC · PURCHASE, NY
OTR GLOBAL LLC · PURCHASE, NY
JANNEY MONTGOMERY SCOTT LLC · PURCHASE, NY
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · PURCHASE, NY
GREYWOLF CAPITAL MANAGEMENT LP · PURCHASE, NY
OLSTEIN CAPITAL MANAGEMENT, L.P. · PURCHASE, NY

More in Purchase, NY

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