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Philip Kwon Hoa Cheng

Wells Fargo Clearing Services, LLC

Pasadena, CA

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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 2023-10-12
IL RA APPROVED 2023-10-12
  • CA RA
    APPROVED
    Since 2023-10-12
  • IL RA
    APPROVED
    Since 2023-10-12

Branch Locations

225 S. Lake Ave Ste 700, Pasadena, CA 91101 • 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
Bancwest Investment Services Pasadena CA 09/2015 10/2023
Bank Of The West Pasadena CA 09/2015 10/2023
Lpl Financial Llc Pasadena CA 07/2023 10/2023
Wells Fargo Clearing Services, Llc Pasadena CA 10/2023 Present
Previous Registrations
  • 2023-07-19 → 2023-10-20
    Lpl Financial Llc
    Pasadena, CA
  • 2015-09-25 → 2023-07-19
    Bancwest Investment Services, Inc.
    Pasadena, CA
    Pasadena, CA
    Alhambra, CA
    San Marino, CA
    Arcadia, CA
    So Pasadena, CA
    Pasadena, CA
    Pasadena, CA
    Omaha, NE
  • 2012-03-05 → 2015-09-16
    Spc
    Cerritos, CA
    Ann Arbor, MI
Other Businesses

DOG SITTING, INV RELATED, GLENDORA, CA, 50% OWNERSHIP, START: 11/1/21, 1 HRS PER MONTH, 0 HRS DURING TRADING, DOG SIT AND DOGGIE DAY CARE;

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2012-03-02
S63 Uniform Securities Agent State Law Examination 2003-09-22
  • S66 Uniform Combined State Law Examination
    2012-03-02
  • S63 Uniform Securities Agent State Law Examination
    2003-09-22
Other Names
  • Philip Cheng
  • Philip K Cheng

View on SEC IAPD

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Other Offices

CMR CAPITAL MANAGEMENT, LLC · PASADENA, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · PASADENA, CA
STRATEGY ASSET MANAGERS L.L.C. · PASADENA, CA
MML INVESTORS SERVICES, LLC · Pasadena, CA
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · PASADENA, CA
NASDAQ DORSEY WRIGHT · Pasadena, CA
U.S. BANCORP ADVISORS, LLC · Pasadena, CA
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