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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 2020-01-15
CA RA APPROVED 2011-01-21
  • TX RA
    APPROVED
    Since 2020-01-15
  • CA RA
    APPROVED
    Since 2011-01-21

Branch Locations

5 Park Plaza 19Th & 20Th Fls [Lt/Sb/Sg-Rbo], Irvine, CA 92614 • United States

27630 Ynez Rd, Temecula, CA 92591 • United States

30186 Haun Rd, Menifee, CA 92584 • United States

32881 Us Hwy 79, Temecula, CA 92592 • United States

31963 Rancho California Rd Ste 100, Temecula, CA 92591 • 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 Temecula CA 01/2011 11/2016
Wells Fargo Clearing Services, Llc Temecula CA 11/2016 Present
Previous Registrations
  • 2009-10-23 → 2011-01-24
    Riverside, CA
    Palm Desert, CA
    Moreno Valley, CA
    Riverside, CA
    Riverside, CA
  • 2004-05-27 → 2009-10-23
    Banc Of America Investment Services, Inc.
    Riverside, CA
    Moreno Valley, CA
    Palm Desert, CA
    Riverside, CA
    Moreno Valley, CA
    Riverside, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2004-05-26
S63 Uniform Securities Agent State Law Examination 2002-11-18
  • S66 Uniform Combined State Law Examination
    2004-05-26
  • S63 Uniform Securities Agent State Law Examination
    2002-11-18

View on SEC IAPD

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