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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 2022-01-10
HI RA APPROVED 2009-03-09
  • TX RA
    APPROVED
    Since 2022-01-10
  • HI RA
    APPROVED
    Since 2009-03-09

Branch Locations

1001 Bishop St Ste 1900, Honolulu, HI 96813 • United States

Honolulu, HI • 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 Honolulu HI 05/2009 11/2016
Wells Fargo Clearing Services, Llc Honolulu HI 11/2016 Present
Previous Registrations
  • 2007-04-02 → 2009-03-11
    Morgan Stanley & Co. Llc
    Honolulu, HI
  • 2003-07-03 → 2007-04-02
    Morgan Stanley Dw Inc.
    Honolulu, HI
    Honolulu, HI
Other Businesses

RENTAL PROPERTY; INV RELATED; MANILA, PHILIPPINES; 100% OWNER; START 2001; MINIMAL TIME DEVOTED PER MONTH; NONE DURING TRADING HOURS. RENTAL PROPERTY; INV RELATED; MANILA, PHILIPINES; 100% OWNERSHIP; START 11/1/2015; 0 HOURS PER MONTH, 0 DURING TRADING; NO DUTIES, HIRING PROPERTY MANAGER. RENTAL PROPERTY, INV RELATED, KANEOHE, HI, 100% OWNERSHIP, START: 6/19/2024, 1 HOUR A MONTH, 0 HOURS DURING TRADING, RESIDENTIAL RENTAL.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2003-07-02
  • S66 Uniform Combined State Law Examination
    2003-07-02
Other Names
  • Sarah Jane Garcia Lopez-Dee
  • Sarah Jane Lopez-Dee Velasquez
  • Sarah Jane Lopez Velasquez
  • Sarah-Jane Lopez-Dee Velasquez

View on SEC IAPD

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