Derick Lee Pantoja

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	2024-05-09
CT	RA	APPROVED	2021-08-26
NY	RA	APPROVED	2021-07-27
NJ	RA	APPROVED	2017-04-06

TX RA
APPROVED_RES

Since 2024-05-09
CT RA
APPROVED

Since 2021-08-26
NY RA
APPROVED

Since 2021-07-27
NJ RA
APPROVED

Since 2017-04-06

Branch Locations

921 Saw Mill River Rd, Ardsley, NY 10502 • United States

500 Odell Ave, Yonkers, NY 10703 • United States

5080 Xavier Dr, Yonkers, NY 10704 • United States

2290 Central Park Ave, Yonkers, NY 10710 • United States

375 White Plains Rd, Eastchester, NY 10709 • United States

202 Mamaroneck Ave, White Plains, NY 10601 • United States

12 S Broadway, Yonkers, NY 10701 • United States

68 S Service Rd Ste 200 [C1-Rbo], Melville, NY 11747 • 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

Organization	City	State	From	To
Wells Fargo Bank	White Plains	NY	12/2007	01/2017
Wells Fargo Clearing Services, Llc	Yonkers	NY	01/2017	Present

12/2007 → 01/2017

Wells Fargo Bank

White Plains, NY
01/2017 → Present

Wells Fargo Clearing Services, Llc

Yonkers, NY

Other Businesses

NOTARY PUBLIC, NOT INV. RELATED, YONKERS, NY. START; 11/8/16, LESS THAN 1 HOUR/MONTH, 0 DURING TRADING, NOTARIZE DOCUMENTS. RENTAL PROPERTY; INV. RELATED; YONKERS, NY; OWNER; MULTIFAMILY HOME; START DATE 3/2019; 0 HRS DURING TRADING.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2017-04-05
S63	Uniform Securities Agent State Law Examination	2003-12-23

S66 Uniform Combined State Law Examination

2017-04-05
S63 Uniform Securities Agent State Law Examination

2003-12-23

Other Names

Derick Lee Pantoja
Derick Pantoja

View on SEC IAPD