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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 2015-02-06
CA RA APPROVED 2013-03-28
  • TX RA
    APPROVED
    Since 2015-02-06
  • CA RA
    APPROVED
    Since 2013-03-28

Branch Locations

1999 Avenue Of The Stars Ste 2200, Los Angeles, CA 90067 • 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
OrganizationCityStateFromTo
Wells Fargo Advisors Century City CA 03/2013 11/2016
Wells Fargo Clearing Services, Llc Century City CA 11/2016 Present
Previous Registrations
Other Businesses

7% OWNERSHIP OF MFF INVESTMENTS, INVESTMENT RELATED, REAL ESTATE, LOS ANGELES CA, 3 HOURS PER MONTH, START 4/26/2013 REAL ESTATE LICENSE (INACTIVE) - INVESTMENT RELATED. STATE OF CALIFORNIA. START 6/1/1994. 0 HRS PER MONTH. NO DUTIES. INDEPENDENCE YACHT COMPANY - NOT INVESTMENT RELATED. SCOTTSDALE, AZ. CO-OWNER. START 9/15/2013. 4 HRS PER MONTH / 0 DURING TRADING. NO DUTIES. SCHWARTZ INVESTMENT COMPANY LLC, INV RELATED, LOS ANGELES, CA, START 1/1974, 2 HOURS PER MONTH/0 DURING TRADING, DUTIES: ASSIST FAMILY WITH REAL ESTATE RENTAL PROPERTY, INV RELATED, BIG BEAR LAKE, CA, 50% OWNERSHIP, START 5/1/2019, 5 HOURS PER MONTH, 1 HOUR DURING TRADING, OVERSEE RENTAL MANAGEMENT COMPANY. BEVERLY HILLS UNIFIED SCHOOL DISTRICT, INVT RELATED, BEVERLY HILLS, CA, FINANCE COMMITTEE MEMBER, START 6/1/2021, 5 HRS PER MONTH, 0 HRS DURING TRADING, DISCUSS BUDGETING, SCHOOL REVENUES AND LIABILITIES BOTH LONG AND SHORT TERM. FINE ROCK PROPERTIES LLC, INV RELATED, BIG BEAR LAKE, CA, 100% OWNERSHIP, START 4/1/2022, 1 HOUR PER MONTH, ZERO HOURS DURING TRADING, HOLDS REAL ESTATE. THE HF RETIREMENT GROUP. INC. ; INV RELATED;LOS ANGELES,CA; S-COR;100% OWNERSHIP; START DATE: 10/05/2026; 5 HRS PER MONTH; 0 HRS DURING TRADING;

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2003-11-24
  • S66 Uniform Combined State Law Examination
    2003-11-24
Designations
Other Names
  • Daniel E Fienberg

View on SEC IAPD

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