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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 2015-06-29
  • CA RA
    APPROVED
    Since 2015-06-29

Branch Locations

3445 Del Mar Heights Rd, San Diego, CA 92130 • United States

4655 Executive Dr Ste 1000 [Sc-Rbo], San Diego, CA 92121 • United States

4649 Carmel Mountain Rd, San Diego, CA 92130 • 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 San Diego CA 06/2015 11/2016
Wells Fargo Clearing Services, Llc San Diego CA 11/2016 Present
Previous Registrations
  • 2012-10-01 → 2015-06-22
    Encinitas, CA
    San Diego, CA
    Vista,, CA
    San Diego, CA
    Vista, CA
    San Diego, CA
    San Diego, CA
    San Diego, CA
    Solana Beach, CA
    San Diego, CA
    San Diego, CA
    San Diego, CA
    Encinitas, CA
    San Marcos, CA
    Carlsbad, CA
    Rancho Santa Fe, CA
    Coronado, CA
    San Diego, CA
    San Diego, CA
    Carlsbad, CA
    Vista, CA
    Carlsbad, CA
    San Marcos, CA
    San Diego, CA
    San Marcos, CA
    Oceanside, CA
    Ramona, CA
    San Diego, CA
    Escondido, CA
    San Diego, CA
    Escondido, CA
    Escondido, CA
    Escondido, CA
    Escondido, CA
    Carlsbad, CA
    Del Mar, CA
    Carlsbad, CA
    Oceanside, CA
    Fallbrook, CA
    Carlsbad, CA
    Oceanside, CA
    Vista, CA
    Oceanside, CA
    Oceanside, CA
    Carlsbad, CA
    Vista, CA
    Vista, CA
    Encinitas, CA
  • 2010-02-10 → 2012-10-01
    Chase Investment Services Corp.
    San Diego, CA
    San Diego, CA
    San Diego, CA
    Escondido, CA
    Escondido, CA
    Escondido, CA
    Escondido, CA
    San Diego, CA
    Poway, CA
    San Diego, CA
    Escondido, CA
    San Diego, CA
    San Diego, CA
    Ramona, CA
    Oceanside, CA
    San Diego, CA
    Vista,, CA
    San Diego, CA
    Encinitas, CA
    Vista, CA
    Aliso Viejo, CA
    Laguna Hills, CA
    Laguna Niguel, CA
    San Clemente, CA
    Laguna Niguel, CA
    Lake Forest, CA
    San Clemente, CA
    San Clemente, CA
    Mission Viejo, CA
    San Diego, CA
    Mission Viejo, CA
    Dana Point, CA
    San Juan Capistrano, CA
    Laguna Hills, CA
    Ladera Ranch, CA
    San Marcos, CA
    Carlsbad, CA
    Escondido, CA
    Carlsbad, CA
    Solana Beach, CA
    Oceanside, CA
    Oceanside, CA
    San Diego, CA
    Vista, CA
    Carlsbad, CA
    Oceanside, CA
    Carlsbad, CA
    Escondido, CA
    Escondido, CA
    San Marcos, CA
    San Marcos, CA
    Encinitas, CA
    Fallbrook, CA
    Oceanside, CA
    San Diego, CA
    Temecula, CA
    Wildomar, CA
    Temecula, CA
    Temecula, CA
    Vista, CA
    Carlsbad, CA
    Carlsbad, CA
    Temecula, CA
    Del Mar, CA
    Carlsbad, CA
    Escondido, CA
    Lake Elsinore, CA
    Riverside, CA
    Temecula, CA
    San Diego, CA
    San Diego, CA
    Escondido, CA
    San Diego, CA
    Carlsbad, CA
    San Jacinto, CA
    Wildomar, CA
    Riverside, CA
    Riverside, CA
    Oceanside, CA
    Rancho Santa Fe, CA
    Escondido, CA
    San Diego, CA
    Escondido, CA
    Oceanside, CA
    Riverside, CA
    San Diego, CA
    Hemet, CA
    Hemet, CA
    Sun City, CA
    Temecula, CA
    Lake Elsinore, CA
    Riverside, CA
    Encinitas, CA
    Riverside, CA
    San Diego, CA
    Carlsbad, CA
    San Marcos, CA
    Murrieta, CA
    Temecula, CA
    Ramona, CA
    Vista, CA
    Carlsbad, CA
    Vista, CA
    Carlsbad, CA
    Oceanside, CA
    San Diego, CA
    San Marcos, CA
    San Diego, CA
    Winchester, CA
    Corona, CA
    Corona, CA
    Escondido, CA
    Norco, CA
    Fallbrook, CA
    Del Mar, CA
    Solana Beach, CA
    Oceanside, CA
    Poway, CA
    San Diego, CA
    San Jacinto, CA
    Vista,, CA
    Escondido, CA
    Rancho Santa Fe, CA
    San Marcos, CA
    Chula Vista, CA
    San Marcos, CA
    San Diego, CA
    San Marcos, CA
    Carlsbad, CA
    Vista, CA
    Carlsbad, CA
    San Diego, CA
    Chula Vista, CA
    San Diego, CA
    Coronado, CA
    San Diego, CA
    Rancho Santa Fe, CA
    Carlsbad, CA
    San Marcos, CA
    Encinitas, CA
    San Diego, CA
    San Diego, CA
    San Diego, CA
    San Diego, CA
    Solana Beach, CA
    San Diego, CA
    Chula Vista, CA
    San Diego, CA
    San Diego, CA
    Vista, CA
    Carlsbad, CA
  • 2007-04-02 → 2009-02-24
    Morgan Stanley & Co. Llc
    Carlsbad, CA
  • 2002-05-06 → 2007-04-02
    Morgan Stanley Dw Inc.
    Carlsbad, CA
    Carlsbad, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2000-07-05
S63 Uniform Securities Agent State Law Examination 1999-12-03
  • S65 Uniform Investment Adviser Law Examination
    2000-07-05
  • S63 Uniform Securities Agent State Law Examination
    1999-12-03

View on SEC IAPD

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