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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_RES 2019-02-05
CA RA APPROVED 2007-02-01
  • TX RA
    APPROVED_RES
    Since 2019-02-05
  • CA RA
    APPROVED
    Since 2007-02-01

Branch Locations

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

19840 Beach Blvd, Huntington Beach, CA 92648 • 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 Laguna Niguel CA 05/2009 11/2016
Wells Fargo Clearing Services, Llc Laguna Niguel CA 11/2016 Present
Previous Registrations
  • 2005-02-10 → 2006-05-23
    Essex National Securities, Llc
    La, CA
  • 2003-09-26 → 2004-11-01
    Morgan Stanley Dw Inc.
    San Diego, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2003-09-25
  • S66 Uniform Combined State Law Examination
    2003-09-25

View on SEC IAPD

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