Joel David Goldberg

Current Employers

Wells Fargo Clearing Services, Llc

One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2018-02-27
CA	RA	APPROVED	2012-09-17

TX RA
APPROVED_RES

Since 2018-02-27
CA RA
APPROVED

Since 2012-09-17

Branch Locations

1160 Marsh St, Stes 200 & 300 [Lm*/Le-Rbo], San Luis Obispo, CA 93401 • United States

5751 Telephone Rd, Ventura, CA 93003 • 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

Organization	City	State	From	To
Wells Fargo Advisors, Llc	Santa Barbara	CA	09/2012	11/2016
Wells Fargo Clearing Services, Llc	Santa Barbara	CA	11/2016	Present

09/2012 → 11/2016

Wells Fargo Advisors, Llc

Santa Barbara, CA
11/2016 → Present

Wells Fargo Clearing Services, Llc

Santa Barbara, CA

Previous Registrations

2009-05-02 → 2012-09-13

Chase Investment Services Corp.

Ventura, CA

Ojai, CA

Ventura, CA
2003-06-09 → 2009-05-02

Wamu Investments, Inc.

Ojai, CA

Ventura, CA

Ventura, CA

Tarzana, CA

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2000-12-26
S63	Uniform Securities Agent State Law Examination	2000-01-10

S65 Uniform Investment Adviser Law Examination

2000-12-26
S63 Uniform Securities Agent State Law Examination

2000-01-10

View on SEC IAPD

Current Employers

Wells Fargo Clearing Services, Llc

Disclosures

Employment History

Previous Registrations

Exams

Other Firms

Other Investors

Other Offices

Reviews