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Steve Won Lee

Wells Fargo Clearing Services, LLC

Irvine, 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 2021-07-19
CA RA APPROVED 2011-12-05
  • TX RA
    APPROVED
    Since 2021-07-19
  • CA RA
    APPROVED
    Since 2011-12-05

Branch Locations

5 Park Plaza 19Th & 20Th Fls [Lt/Sb/Sg-Rbo], Irvine, CA 92614 • 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. Brea CA 12/2011 11/2016
Wells Fargo Clearing Services, Llc Brea CA 11/2016 Present
Previous Registrations
  • 2007-04-26 → 2011-12-12
    Hsbc Securities (Usa) Inc.
    Los Angeles, CA
    Rolling Hills Estates, CA
    Torrance, CA
    Irvine, CA
    Los Angeles, CA
  • 2002-07-29 → 2007-04-10
    Banc Of America Investment Services, Inc.
    Pasadena, CA
    Los Angeles, CA
    Pasadena, CA
  • 2001-05-15 → 2002-07-13
    Wells Fargo Investments, Llc
    West Covina, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-10-13
S63 Uniform Securities Agent State Law Examination 1998-07-09
  • S65 Uniform Investment Adviser Law Examination
    1999-10-13
  • S63 Uniform Securities Agent State Law Examination
    1998-07-09
Other Names
  • Steve Lee
  • Steve Lee

View on SEC IAPD

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