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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 2009-01-14
  • CA RA
    APPROVED
    Since 2009-01-14

Branch Locations

500 Silver Spur Rd 3Rd Fl Ste 300, Rolling Hills Estates, CA 90275 • 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 Rolling Hills Estates CA 05/2009 11/2016
Wells Fargo Clearing Services, Llc Rolling Hills Estates CA 11/2016 Present
Previous Registrations
Other Businesses

MODEL/ACTOR, BEVERLY HIILS, CA. NOT INVESTMENT RELATED. BUSINESS - OCCASIONAL MODELING FOR PRINT AND ACTING FOR COMMERCIALS. NO TITLE - FREELANCE JOBS. START 01/01/1987. 1HR/WEEK. AUDITION FOR JOB, THEN WORK ON SET. RENTAL PROPERTY; INV RELATED; TAHOMA, CA; 100% OWNERSHIP WITH SPOUSE; START 4/24/2016; 0 HOURS PER MONTH, 0 DURING TRADING; OWNER. LOAN; INVESTMENT RELATED; PALOS VERDES,CA; START 4/3/2014; NUMBER OF HOURS PER MONTH ZERO; NUMBER OF HOURS DURING TRADING ZERO. CO-TRUSTEE FOR FATHER'S TRUST, INV RELATED, LOS ANGELES, CA, START: 9/15/2021, 1 HR/MONTH, 0 HRS DURING TRADING. WATERS EDGE HOMEOWNERS ASSOCIATION, NOT INV RELATED, TAHOMA, CA, MEMBER OF THE BOARD OF DIRECTORS, START DATE 7/3/2024, 3 HOURS A MONTH, 0 DURING TRADING, ATTENDING MEETINGS TO DISCUSS ASSOCIATION POLICIES AND PROJECTS INCLUDING MAINTENANCE AND IMPROVEMENTS. | EXECUTOR OF FAMILY ESTATE; INVESTMENT RELATED; WINDSOR, CO; EXECUTOR; 01/01/2044; 1 HOUR PER MONTH; NO HOURS DURING TRADING HOURS; HANDLE ESTATE AS DIRECTED BY WILL WATER'S EDGE CONDOMINIUM ASSOCIATION; NOT INV RELATED;TAHOMA,CA; CONDO; BOARD MEMBER; START DATE: 07/01/2026; 2 HRS PER MONTH; 0 HRS DURING TRADING;

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2002-11-06
  • S66 Uniform Combined State Law Examination
    2002-11-06
Designations

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