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Andrew Liu

Wells Fargo Clearing Services, LLC

San Jose, CA

CRD 4595218

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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
TX RA APPROVED 2024-04-05
CA RA APPROVED 2015-04-17
  • TX RA
    APPROVED
    Since 2024-04-05
  • CA RA
    APPROVED
    Since 2015-04-17

Branch Locations

550 S Winchester Blvd Ste 601, San Jose, CA 95128 • 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 San Jose CA 04/2015 11/2016
Wells Fargo Clearing Services, Llc San Jose CA 11/2016 Present
Previous Registrations
  • 2009-06-01 → 2015-04-27
    Morgan Stanley
    Palo Alto, CA
    Cupertino, CA
  • 2005-08-01 → 2009-06-01
    Citigroup Global Markets Inc.
    Palo Alto, CA
    Palo Alto, CA
  • 2003-01-02 → 2005-08-01
    Morgan Stanley Dw Inc.
    Cupertino, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2002-12-20
  • S66 Uniform Combined State Law Examination
    2002-12-20
Designations
  • Certified Financial Planner

View on SEC IAPD

Nearby Firms

J.P. MORGAN SECURITIES LLC
PFG ADVISORS
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Nearby Investors

Ryan Leiby
Adrian Baker
Bianca N. Cross

Nearby Offices

J.P. MORGAN SECURITIES LLC · SAN JOSE, CA
PFG ADVISORS · San Jose, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · SAN JOSE, CA

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