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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 2012-12-11
  • CA RA
    APPROVED
    Since 2012-12-11

Branch Locations

260 Ocean Ave, Laguna Beach, CA 92651 • United States

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

5 Park Plaza 19Th Fl [Xl-Rbo], Irvine, CA 92614 • 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 Orange County CA 12/2012 11/2016
Wells Fargo Clearing Services, Llc Orange County CA 11/2016 Present
Previous Registrations
  • 2012-05-15 → 2012-12-11
    Long Beach, CA
  • 2008-04-11 → 2012-04-04
    Newport Beach, CA
    Newport Beach, CA
    Irvine, CA
  • 2007-04-02 → 2008-04-08
    Morgan Stanley & Co. Llc
    Long Beach, CA
  • 2004-11-09 → 2007-04-02
    Morgan Stanley Dw Inc.
    Long Beach, CA
    Long Beach, CA
Other Businesses

PENGUIN PROPERTIES, INC. INVESTMENT RELATED; LA QUINTA, CA; LLC FOR PROPERTY MANAGEMENT; START 7/2012; 100% OWNERSHIP WITH SPOUSE; 1 HR DEVOTED PER MONTH. RENTAL PROPERTY; INV. RELATED; LA QUINTA,CA; 100% OWNERSHIP W/SPOUSE; START 7/2/2012; NUMBER OF HOURS PER MONTH 1; NUMBER OF HOURS DURING TRADING 0; OWNER. RENTAL PROPERTY; INV. RELATED; LAKE ARROWHEAD,CA; 100% OWNERSHIP W/SPOUSE; START 11/1/2010; NUMBER OF HOURS PER MONTH 0; NUMBER OF HOURS DURING TRADING 0; OWNER. RENTAL PROPERTY, INV RELATED, ST. THOMAS, VIRGIN ISLANDS, 100% OWNERSHIP, START 12/1/2021, ZERO HOURS PER MONTH, ZERO HOURS DURING TRADING. RUBY RIDGE, LLC, INVT RELATED, LAGUNA BEACH, CA, 100% OWNERSHIP WITH SPOUSE, START DATE 9/1/2022, 1 HR PER MONTH, 0 HRS DURING TRADING, PROPERTY MANAGEMENT, ACCEPT CALLS FROM PROPERTY MANAGEMENT.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2004-11-02
  • S66 Uniform Combined State Law Examination
    2004-11-02
Other Names
  • Denise Charlene Graham

View on SEC IAPD

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