Best Investors Account Sign in

Erick Santiago Block

Wells Fargo Clearing Services, LLC

Rolling Hills Estates, CA

Pvp, CA

CRD 4580025

Claim This Profile
Employer firm

Wells Fargo Clearing Services, LLC CRD 19616

$671B regulatory AUM 5,302 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers
  • INVESTMENT CONSULTING SERVICES TO INSTITUTIONAL CLIENTS

From the firm’s Form ADV. Read the guides:

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 2020-01-14
TX RA APPROVED_RES 2020-01-14
  • CA RA
    APPROVED
    Since 2020-01-14
  • TX RA
    APPROVED_RES
    Since 2020-01-14

Branch Locations

500 Silver Spur Rd 3Rd Fl Ste 300, Rolling Hills Estates, CA 90275 • United States

Pvp, CA • 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
D.A. Davidson & Co. Long Beach CA 02/2015 01/2020
Wells Fargo Clearing Services Llc Rolling Hills Estate CA 01/2020 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2008-07-09
  • S66 Uniform Combined State Law Examination
    2008-07-09
Other Names
  • Erick Santiago Block

View on SEC IAPD

Nearby Firms

KEYMARK FINANCIAL
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
LPL FINANCIAL LLC

Nearby Investors

MARK ANTHONY BOUJIKIAN
MICHELLE NUTTMAN
JOHN ANDRAOS

Nearby Offices

KEYMARK FINANCIAL · ROLLING HILLS ESTATES, CA
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · ROLLING HILLS ESTATES, CA
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · ROLLING HILLS ESTATES, CA

More in Rolling Hills Estates, CA

Reviews
No reviews yet

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor